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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Oregon Division of Finance and Corporate Securities
• Facilitating the payment of all Oregon 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 Oregon Division of Finance and Corporate Securities
• Filing of Surety Bond or Letter of Credit
• Drafting and filing designation of supervisor
• Drafting a compliance manual in conformity with the Oregon Administrative Rules
• 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 Oregon Registrants:

Financial Statement Requirements

Any investment adviser registering in the State of Oregon who has or will have custody of client funds or securities or requires or will require payment of advisory fees six months or more in advance and in excess of $500 per client, an audited balance sheet and for all other such investment advisers, a reviewed or compiled balance sheet;

The financial statements must be submitted for the last two fiscal years. If an application for investment adviser registration is made less than 90 days after the end of the applicant's fiscal year, the financial statements shall be for the two most recent fiscal years, not including the most recently completed fiscal year. For persons with less than two years of operations, the same financial statements must be submitted for the period of operations and if the year-end financial statements are dated more than 90 days from the completed application, interim financial statements within 90 days must accompany the application.

Surety Bond

Every applicant for a license as an Oregon based state investment adviser, must file with the Director of the Division of Finance and Corporate Securities a surety bond or a letter of credit. Every person licensed as an Oregon based state investment adviser must maintain a surety bond or a letter of credit during the period of licensing and for at least six years after the person ceases to be licensed as an Oregon based state investment adviser. In no less than six years after a person ceases to be required to maintain a surety bond or a letter of credit, the person may apply to the Director of the Division of Finance and Corporate Securities for release of the surety bond or letter of credit. Unless the Director of the Division of Finance and Corporate Securities determines that claims are pending against the person for violation of the Oregon Securities Law, the Director of the Division of Finance and Corporate Securities shall release the surety bond or letter of credit.

A surety bond shall be in a form and on terms approved by the Director of the Division of Finance and Corporate Securities in the sum of $10,000 from a corporation authorized by the Director of the Division of Finance and Corporate Securities to transact insurance in the State of Oregon.

A letter of credit shall be in the form and on terms approved by the Director of the Division of Finance and Corporate Securities in the sum of $10,000 from a financial institution authorized to transact banking business in the State of Oregon.

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