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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Kentucky Department of Financial Institutions
• Facilitating the payment of all Kentucky 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 the financial statements directly with the Kentucky Department of Financial Institutions
• Drafting a compliance manual in conformity with the Kentucky Administrative Regulations
• 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 Kentucky Registrants:

Net Worth Requirement

An investment adviser registered or required to register in the State of Kentucky must meet the following net worth requirements established:

1. An investment adviser registered in the State of Kentucky who has custody of client funds or securities, except an adviser having custody due entirely to advising pooled investment vehicles, must maintain a minimum net worth of $35,000. An adviser may substitute up to $25,000 of the net worth requirement with a bond for the substituted amount issued by a bonding company that is qualified to do business in Kentucky.

2. An investment adviser registered in the State of Kentucky who has discretionary authority over client funds or securities, but does not have custody of client funds or securities must maintain a minimum net worth of $10,000 or be bonded for that amount by a bonding company that is qualified to do business in Kentucky.

3. An investment adviser registered in the State of Kentucky must maintain a positive net worth.

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Please call us toll free at 888-798-2930 for more information about our Kentucky “Turn-Key” Registration Program.