Coversheet To Accompany Investment Adviser Forms - New York State Department Of Law

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NY-ADV-COVER
(Rev 9/2006) INVESTMENT ADVISOR
Investment Advisor Name______________________Date________Number NY IA Clients_______
COVERSHEET TO ACCOMPANY INVESTMENT ADVISER FORMS
REGISTRATION YEAR ENDING DECEMBER 31, 200__
PLEASE CHECK APPROPRIATE BOX(ES) AND PROVIDE THE REQUIRED ITEMS
[ ] NY Initial Registration
The following items are required:
1) $200 filing fee using the IARD system.
2) Application filed using the IARD system.
3) Copies of all parts of the ADV not filed electronically, submitted to the address below.
4) Balance sheet and income statement as of end of fiscal year and if not within 90 days of filing also submit
an interim statement which is dated within the last 90 days. Affix the following language to each statement: “I
do hereby certify that this is a true and complete financial statement” followed by an authorized signature (or
attach a CPA’s Audit report) submitted to address below.
5) Form NY-IAQ, if necessary.
[ ]
200__ NY Annual Renewal
1) $200 filing fee to this office if not already paid by the IARD system.
2) Balance sheet and income statement dated at investment adviser’s fiscal year end submitted to the address
below. Affix the following language to each statement: “I do hereby certify that this is a true and complete
financial statement’ followed by an authorized signature (or attach a CPA’s Audit report).
3) Annual offer of entire ADV to NY clients.
[ ]
NY Registration Amendment
The following items are required:
1) Amend the IARD system.
2) Copy of amended pages of ADV not filed electronically, submitted to this office.
[ ]
Conversion from Federal Status
same requirements as NY initial registration
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SEC REGISTERED INVESTMENT ADVISORS NOTICE FILINGS
[ ]
Initial Filing
must be filed electronically by the IARD system. The fee is $200.
A copy of Part 2 and Schedule F must be submitted to the address below.
[ ]
Annual Renewal
$200 to this office if not already paid by the IARD system.
[ ]
Amendment
The following items are required:
1) Amend the IARD system.
2) Copy of amended pages of ADV not filed electronically.
[ ]
Conversion to Federal Status
same requirements as initial notice filing
-------------------------------------------------------------------------------------------------------------------------------------------
Checks for filing fees that cannot be paid by the IARD system should be made payable to New York
State Department of Law.
The mailing address for all filings is: New York State Department of Law
Investor Protection Bureau
Investment Advisory Unit
120 Broadway 23rd floor
New York, NY 10271
If you have any questions, call Margaret Kurta at (212) 416-8285

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