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Investment Advisers

Investment Advisers

Statute Authority

Michigan Uniform Securities Act, Article 4

Rule Authority

Forms/ Documents

  • Form ADV Instructions
  • Form ADV 
    Uniform Application for Investment Adviser Registration
  • Form ADV Part 2 
    Part 2 of the Uniform Application for Investment Adviser Registration
  • Form ADV-W 
    Notice of Withdrawal from Registration as Investment Adviser
  • Investment Adviser Surety Bond
  • Notification of Delay
    • Administrator Notification of MCL 451.2533 Delay

     

    Advisers

    • State of Michigan Advisers
      Investment Advisers located in the State of Michigan must register the firm prior to commencing business in Michigan.
    • Out of State Advisers
      A person shall not transact business in this state as an investment adviser unless the person is registered as an investment adviser or is exempt from registration.  (MCL 451.2403)
       

    Registration Process

    Michigan’s Corporations, Securities, and Commercial Licensing Bureau’s Securities & Audit Division mandates the use of FINRA’s Investment Adviser Registration Depository (IARD) for all investment adviser registration applicants.

    Applicants will partially file electronically through the IARD system and partially file on paper with the State of Michigan Securities & Audit Division (LARA).
     
     
    Resources

    These links are provided for informational purposes only and are not intended to serve as legal advice. Requirements for federal covered versus state registered investment advisers may vary and you should consult with an attorney for legal advice regarding requirements relevant to your circumstances.

     

    Contact Us:
    Department of Licensing and Regulatory Affairs (LARA)
    Corporations, Securities & Commercial Licensing Bureau (CS&CL)
    Securities and Audit Division
    Address:  PO Box 30018, Lansing, MI 48909
    Overnight Mail (FedEx/UPS): 2407 N. Grand River Ave, Lansing, MI 48906
    Phone: (517) 335-5237
    Fax:      (517) 763-0039
    Email: LARA-CSCL-Securities-Audit@michigan.gov