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I. Registration Fees.

  • Investment Adviser: $300.
  • Investment Adviser Representative: $110.

II. Financial & Bonding Requirements. An IA with custody of client funds or securities must maintain a minimum net capital of $20,000 or tangible net worth of $35,000. In addition, audited financial statements are required for IAs with custody.

III. Sole Proprietorships. If an IA is a sole proprietorship, registration fees must be paid for both the IA and the IAR. In addition, a form U4 must be filed for the IAR.

IV. De Minimis. IAs that do not have a place of business in Nevada are not required to register until the IA has more than 5 clients.

V. Other Required Documents.

  • Original signed proof of residency.
  • Original signed child support statement.
  • Original signed affidavit of prior activity (sometimes).
  • Consent to service.

For additional information, please contact the state securities administrator.

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