I. Registration Fees.
- Investment Adviser: $100
- Investment Adviser Representative: $24
II. Sole Proprietorships. IAs structured as sole proprietors must file a U4 for the IAR, pay a fee of $24 for the representative, and $100 for the firm.
III. De Minimis. A state licensed investment adviser with no place of business in Colorado may have up to and including 5 clients within the past 12 months.
IV. Other Required Documents are to be submitted by mail either in paper form or electronic form (CD).
- Advisory agreements/client contracts.
- Advisers to pooled investment vehicles:
- All offering documents associated with each pooled investment vehicle.
- Limited partnership agreements.
- Subscription agreements.
- “Gatekeeper” agreements.
For additional information, please contact the state securities administrator.
