What are the initial notice filing requirements in Alaska (3 AAC 08.011(m)) for a Federal Covered Adviser (FCA)?
The notice filing requirements are found at AS 45.55.040(h) and 3 AAC 08.011(m). Your notice filing should include: • A letter notice of intent to provide investment advisory services as a FCA, including the current address and phone number of the home office; • One copy of a complete, current, and signed SEC Form ADV (as filed with the SEC), including the most current SEC Schedule I; • A list of Investment Adviser Representatives (IAR), including CRD numbers if applicable, having a place of business in Alaska (if none, please so state); • A complete, current, and signed U-4 for each IAR having a place of business in Alaska; • Evidence that each IAR has satisfied the qualification requirements of 3 AAC 08.013; • Fees of $250 for the FCA notice filing and $75 for each IAR being registered in Alaska (checks payable to State of Alaska); • All notice filings and IAR registrations expire on December 31 of the year in which issued.
