Official Government Website

Investment Adviser Registration and Forms

The Securities Bureau is responsible for administering the Idaho Uniform Securities Act. 

The Bureau registers and oversees financial entities and professional such as investment advisers, investment adviser representatives, broker-dealers and securities salespersons who sell securities or offer investment advice in Idaho.

The Department also facilitates the Innovation Lab to help foster discussions that encompass digital innovations impacting Idahoans and the financial services industry.

Investment Adviser Registration:

Forms

Investment Adviser Financial Statement Reporting Requirements

State-regulated Idaho based investment advisers

  • Balance Sheet (dated within 90 days of fiscal year end) does not have to be audited, but is required to be prepared substantially in accordance with Generally Accepted Accounting Principles (GAAP).
  • Send to:
    Idaho Department of Finance
    Securities Bureau
    PO Box 83720
    Boise, ID 83720-0031

 

ver: 3.5.1a | last updated: