Investment Adviser Workshop
IA Regulation
Firm and Branch Registration
Filing on IARD
Screenshots of Relevant IARD/CRD
Screens
Investment Adviser Workshop
IA Regulation
The Switch Process
Filing for State Registration
 Switching to state registration is accomplished by making a “Create
A New ADV Filing” and payment of the $200 registration fee thru
IARD.
 If you don’t remember how to access IARD, call the Gateway Call
Center at 301-869-6699
 From the IARD Main Menu, select “Form ADV-New Filing”
Select “Apply for
Registrations..with..states”
ABC ADVISORS LLC
ABC ADVISORS LLC
ABC ADVISORS LLC
ABC ADVISORS LLC
ABC ADVISORS LLC
ABC ADVISORS LLC
ABC ADVISORS LLC
Clicking “Submit”
enters your filing
ABC ADVISORS LLC
Investment Adviser Workshop
IA Regulation
Form BR Branch Office Filing
 A branch office is an office other than your principal office that is held
out to the public as a contact location for the adviser or where the
adviser regularly
 meets or communicates with clients;
 solicits persons to become clients; or
 provides investment advice.
 Branch office openings, closings and amendments are created on CRD
using Form BR and must be completed within 14 days of the events.
 Branch office opening fees of $80 are deducted from your IARD Daily
Account.
ABC ADVISORS LLC
ABC ADVISORS LLC
*
TYPE OF BRANCH OFFICE
Select “Investment Adviser” as the type of branch office filing.
ABC ADVISORS LLC
*
PERSON-IN-CHARGE – A natural person who is physically located
at the branch office and who has been designated by the applicant to
supervise the activities of the individuals working at the branch office.
SUPERVISOR – A natural person who is not physically located at the
branch office but has been designated by the applicant to supervise
the activities of the individuals working at the branch office.
ABC ADVISORS LLC
This refers to your IA only; not activity of a BD
Describe any BD activity here
List any DBAs used
by the IA or its IARs
ABC ADVISORS LLC
ABC ADVISORS LLC
ABC ADVISORS LLC
SECTION 7 – FOR BRANCH CLOSINGS
Date operations ceased, or will cease, at the branch office
Enter the month, day, and year the branch closed or intends to
close – not the date you are submitting the filing.