INVESTMENT ADVISER APPLICATION CHECKLIST

The following is provided as a checklist for you to use when filing your application for an investment adviser certificate. Documents are filed with the Investment Adviser Registration Depository (“IARD”), the Central Registration Depository (“CRD”) or the Commissioner of Business Oversight (“Commissioner”).   Please make sure that the following documents are filed as directed.  If you have any questions concerning an item, check out our “Application for an Investment Adviser Certificate - Did You Know” page.  You will help us to efficiently process your application if your application includes the proper documentation and information.

Checkbox

Type of Document or Disclosure

Filed With

 

Advisory Contract(s)

Commissioner

 

Application (Form ADV Parts 1A, 1B and 2) and Filing Fee of $125

IARD

 

California Corporation or Limited Liability Company Securities Filing

Commissioner

 

Conflict of Interest Disclosure

IARD and/or Commissioner

 

Customer Authorization of Disclosure of Financial Records (Form QR 500.261)

Commissioner Upon Request

 

Financial Information (Balance Sheet and Minimum Financial Requirements Worksheet (Form 260.237.2)

Commissioner

 

Financial Planning Conflict of Interest Statement

IARD and/or Commissioner

 

Form U-4 and Reporting Fee of $25 for each investment adviser representative/associated person (“IAR”)

CRD

 

Form U-4 for each officer, director or partner or each person who owns 10% of more, as shown on Schedule A or B of Form ADV, not reported as an IAR or associated person

Commissioner

 

Performance Fees Disclosure

IARD and/or Commissioner

 

Statement of Citizenship, Alienage, and Immigration Status (Form 250.61)

Your Books and Records