Investment Advisers

State Filing

Application Requirement for State Investment Adviser Registration


  1. Submit a completed Form ADV (Part 1A-1B, 2A and 2B) electronically through IARD.


  2. Submit a $250 filing fee electronically through IARD.


  3. Financial statements including a copy of the balance sheet for the last fiscal year and if such balance sheet is as of a date more than 45 days from the date of filing of the application, an unaudited balance sheet is required.

    • If the investment adviser has custody of client funds or securities or requires payment of advisory fees six months or more in advance and in excess of $500 per client shall file an audited balance sheet as of the end of the investments adviser's most recent fiscal year.


    • Every registered investment adviser who has discretionary authority over client funds or securities, but not custody, shall file a balance sheet which need not be audited, as of the end of the investments adviser's most recent fiscal year.


  4. A copy of the surety bond required by Section 10 of the proposed Wyoming IA Rules, if applicable.


  5. Submit a sample of all types of client contracts or offering documents the adviser intends to use.


This may be submitted via email to Dave.Barker@wyo.gov OR by mail to:



Compliance Division
Attn: Dave Barker
2020 Carey Avenue, Suite 700
Cheyenne, WY 82002-0020