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Adding an advisor to an RIA

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Jul 29, 2009 4:20 am

Hi all!  I need to add a IAR(S 65) to my existing California State Registered RIA I am a sole prop (we’re small only 15 mil).  Do I use the U-4 or just add them to a Schedule D in my ADV? Their 65 isn’t carried by anyone now.

  Thanks in advance! This is one thing I am not a wiz at!
Jul 29, 2009 10:14 pm

You have to file a U4 and update your ADV. Unless California is different.

Jul 30, 2009 12:54 am

Thanks Moraen

Jul 31, 2009 5:38 am

SEC doesn’t require Series 65 - so no U4.  I’d check with your state as mine is the same as SEC, so again no 65 and no U4.

Jul 31, 2009 1:02 pm


Do you have any wesbites that show the requirements (or non requirements) for keeping a U4 updated.   I have heard mixed responses on what and when the u4 needs to be updated and maintained.   Thanks - Cal
Jul 31, 2009 9:48 pm

My u4 hasn’t been touched since 2005.  I use National Compliance Services  Their site may have some useful stuff regarding this.

Aug 1, 2009 7:04 pm

U4 is for registered reps of a B/D. Go to your state’s securities regulator website and look for the section on investment advisor registration.

Aug 1, 2009 7:09 pm

I think this is it.