Investment Adviser Registration
Registration of investment advisers in Hawaii is a two-step process. All applicants must file on the IARD system. Once a filing has been made via the IARD, notification will be made to the state. An examiner will be assigned to review the application. Additional documentation must be sent to the Securities Compliance Branch for review. Applicants will be notified in writing of any deficiencies in the application. When an application is approved the IARD status of the applicant will be updated.
Step 1 – File on the IARD System
All investment advisers filing for registration in Hawaii, are required to use the Investment Adviser Registration Depository (IARD). IARD is an electronic filing system developed and operated by the Financial Industry Regulatory Authority (FINRA) for states and the Securities and Exchange Commission for registration purposes.
All investment advisers must pay the Hawaii filing fee and submit their ADV, Part 1 and ADV, Part 2 on the IARD.
More information can be found on the IARD website.
Step 2 – Submit completed documents to the Securities Compliance Branch
The links below will provide information on the documentation that must be completed and sent to the Securities Compliance Branch for review.
Documents may be emailed to the examiner assigned to your application via our general email mailbox at [email protected].