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IA Notice Filing Requirements
Notice Filing
Federally registered investment advisers must file a notice with the Office of the Kansas Securities Commissioner if the company has a physical presence in this state or is not physically located in this state but has more than five clients that reside in Kansas. Each notice filing investment adviser shall file a Form ADV and appropriate fees electronically with the IARD as required by K.A.R. 81-14-7 and K.A.R. 81-14-2(c).

Investment Adviser Representatives
All investment adviser representatives employed by a federal covered investment adviser that has a place of business in Kansas must register with the Office of the Kansas Securities Commissioner. Each individual investment adviser representative shall file Form U-4 and the fee in the amount of $60 electronically with the Central Registration Depository (CRD) and meet certain examination requirements.