The web Browser you are currently using is unsupported, and some features of this site may not work as intended. Please update to a modern browser such as Chrome, Firefox or Edge to experience all features Michigan.gov has to offer.
Investment Advisers
Statute Authority
Michigan Uniform Securities Act, Article 4
Rule Authority
- New Administrative Rules (PDF)
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
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.
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