Our “turn-key” investment adviser registration program for the State of Indiana includes:

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Indiana Securities Division
• Facilitating the payment of all Indiana state registration fees
• Preparing and filing Form ADV Part 1 via the IARD system
• Preparing and filing Form ADV Part II via the IARD system
• Filing of financial statements directly with the Indiana Securities Division
• Drafting a compliance manual in conformity with the Indiana Uniform Securities Act
• Drafting and filing investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

Important Additional Information for Indiana Registrants:

Financial Statement Requirements

Investment adviser applying for registration in the State of Indiana must file an audited balance sheet if the investment adviser:

1. Will have custody or possession of clients' funds or securities; or
2. Bills clients more than $500 and more than six months in advance.

The filing of a balance sheet is an annual requirement of all investment advisers registered in the State of Indiana.  Annual balance sheets must be sent to the Indiana Securities Division within 120 days of the end of the investment adviser's fiscal year.
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Please call us toll free at 888-798-2930 for more information about our Indiana “Turn-Key” Registration Program.