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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 the Department of Financial Protection and Innovation (“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.

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% or 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

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