Investment Advisers and their Representatives

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Persons who meet the statutory definition(s) of Investment Adviser and/or Investment Adviser Representative found in Minn. Stat. § 80A.41 (16) & (17) generally must register with the Minnesota Department of Commerce. Persons who meet the statutory definition(s) of Investment Adviser and/or Investment Adviser Representative found in Minn. Stat. § 80A.41 (16) & (17) generally must register with the Minnesota Department of Commerce. Registration requirements, as well as exemptions from registration, are defined in Minn. Stat. § 80A.58-.60 and applicable rules in Minn. Rules 2876. Review: Investment Advisers and their Representatives How to Register as an Investment Adviser A person wishing to register an Investment Adviser in Minnesota must complete and file Form ADV Parts 1 and 2 on the Investment Adviser Registration Depository (IARD) electronic system. These forms should be completed according to the official Form ADV instructions, available at IARD Order: Supervisory Experience-Investment Adviser (.pdf) Memo to Investment Advisor Firms (.pdf) Forms & Fees Additional Information Net Worth Register Renewal Resources How to Register as an Investment Adviser Representative A person wishing to register as an Investment Adviser Representative in Minnesota must complete and file Form U4 on the Central Registration Depository (CRD) electronic system. This form should be completed according to the official Form U4 instructions, available on the CRD website. Forms & Fees Renewal Examinations None