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| Investment Adviser Registration |
 Permit Information
| Permit ID: |
LAW-0002 |
Agency Code: |
0300 |
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| Agency Name: |
Law, Department of |
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| Permit Name: |
Investment Adviser Registration |
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| Permit Description: |
An investment adviser is any person who, for compensation, engages in the business of advising clients either directly or through publications or writings within or from New York as to the value of securities; as to the advisability of investing in, purchasing, or selling or holding securities; or issues or produces analyses or reports concerning securities to clients. In New York, investment advisers with more than five clients in the New York must register as an investment adviser. New York accepts online filing through the Investment Adviser Registration Depository at www.iard.com. |
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| Application Form: |
Uniform Application for Investment Adviser Registration |
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| Form Number/Date: |
Form ADV/SEC 1707 (4/7/06) |
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| Downloadable Application Form: |
http://www.oag.state.ny.us/bureaus/investor_protection/investors/forms/cover.pdf, http://www.oag.state.ny.us/bureaus/investor_protection/investors/forms/Form%20ADV-Part%201A.pdf, http://www.oag.state.ny.us/bureaus/investor_protection/investors/forms/Form%20ADV-Part%201B.pdf, http://www.oag.state.ny.us/bureaus/investor_protection/investors/forms/Form%20ADV-Part%202.pdf, http://www.oag.state.ny.us/bureaus/investor_protection/investors/forms/Form%20ADV-Execution%20Page.pdf |
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| Apply Online: |
NY Initial Registration - Not Available; SEC Initial Registration - Available at http://www.sec.gov/iard |
Authority
| Statutory Authority: |
NYS General Business Law, Article 23A |
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| Regulatory Authority: |
13 NYCRR, Part 11 |
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Federal Authority:
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None |
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Category of Business
Regulated by Permit: |
Finance & Insurance & Real Estate |
Fees and Requirements
| Fees: |
Type Amount Returnable
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1. Application $200.00 Yes
Comments: None
2. Renewal $200.00 Yes
Comments: None
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| Fee Payment Options: |
Personal Check, Postal Money Order |
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| Comments: |
Made payable to the NYS Department of Law. |
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Additional
Documentation: |
1. Project Description
Always Required
2. Financial Information
Always Required
3. Formal Educational Information
Always Required
4. Personal Background Information
Always Required
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| Comments: |
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| Supplemental Permits: |
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None |
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| Comments: |
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| Special Requirements: |
None |
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| Comments: |
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| Additional Information: |
None |
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Comments: |
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 Processing
Licensing/Application Inquiries
| Agency: |
NYS Department of Law |
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| Address: |
Investment Protection Bureau
Investment Advisory Unit
120 Broadway, 23rd Floor
New York, NY 10271
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| Phone: |
(212) 416-8285 |
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Other Sources
for Applications: |
Agency Website |
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| Agency Website: |
http://www.ag.ny.gov
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