State Filing

Application Requirement for State Investment Adviser Registration

1. Submit a completed Form ADV (Part 1A-1B, 2A and 2B) electronically through IARD.



2. Submit a $250 filing fee electronically through IARD.



3. Financial statements including a copy of the balance sheet for the last fiscal year and if such balance sheet is as of a date more than 45 days from the date of filing of the application, an unaudited balance sheet is required.


• If the investment adviser has custody of client funds or securities or requires payment of advisory fees six months or more in advance and in excess of $500 per client shall file an audited balance sheet as of the end of the investments adviser's most recent fiscal year.



• Every registered investment adviser who has discretionary authority over client funds or securities, but not custody, shall file a balance sheet which need not be audited, as of the end of the investments adviser's most recent fiscal year.



4. A copy of the surety bond required by Section 10 of the proposed Wyoming IA Rules, if applicable.



5. Submit a sample of all types of client contracts or offering documents the adviser intends to use.

This may be submitted via email to Dave.Barker@wyo.gov OR by mail to: