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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the New Mexico Securities Division
• Facilitating the payment of all New Mexico 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 Investment Adviser Affidavit directly with the New Mexico Securities Division
• Filing Licensing Resolution directly with the New Mexico Securities Division
• Drafting a compliance manual in conformity with the New Mexico Securities Act
• Drafting investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

Important Additional Information for New Mexico Registrants:

Minimum Net Worth Requirements

Every investment adviser registered in the State of New Mexico must maintain a net worth of not less than $5,000. Every investment adviser that has its principal place of business in a state other than in the State of New Mexico must maintain only such minimum net worth as required by the state in which the investment adviser maintains its principal place of business, provided the investment adviser is licensed in such state and is in compliance with such state’s minimum net worth requirements.
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Please call us toll free at 888-798-2930 for more information about our New Mexico “Turn-Key” Registration Program.