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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.

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