Skip to main content

    Home / Compliance / Arizona / Private Fund

    Arizona Private Fund Manager / Exempt Reporting Adviser Compliance

    Arizona is a top retirement wealth market. FIN Group provides fractional CCO services, Form ADV (Part 1A only for ERAs) filings, annual reviews, and exam support for Private Fund Manager / Exempt Reporting Advisers operating here.

    Contact Us See Pricing

    Who needs to register in Arizona

    Any Private Fund Manager / Exempt Reporting Adviser with a principal place of business in Arizona, or with clients located in Arizona above the de minimis threshold, must register with the Arizona Corporation Commission — Securities Division or — if eligible — with the SEC.

    Arizona-specific nuance

    Arizona requires a $250 RIA filing fee and Form U4 for each IAR, with a focus on senior-investor disclosure during exams.

    Regulator: Arizona Corporation Commission — Securities Division

    Annual obligations for Private Funds

    The core federal calendar that applies on top of Arizona's requirements:

    • File Form ADV Part 1A within 60 days of crossing $150M AUM threshold for full registration
    • File Form PF for private fund advisers with $150M+ in private fund AUM
    • Comply with the new Private Fund Adviser Rules (quarterly statements, annual audit, fairness opinions)
    • Maintain a written compliance program addressing valuation, allocations, and conflicts
    • Custody Rule (206(4)-2) compliance via qualified custodian and annual surprise audit
    • Investor side-letter tracking and most-favored-nation disclosures

    How FIN Group helps Arizona Private Funds

    Fractional CCO

    A named, senior CCO who owns your Form ADV (Part 1A only for ERAs) filings, annual review, and exam response.

    Explore Fractional CCO

    Compliance Calendar Software

    RegReview tracks every state, federal, and firm-level deadline with automatic reminders.

    Explore Compliance Calendar Software

    Marketing Compliance Review

    ADScanner reviews every piece of marketing for Rule 206(4)-1 / FINRA 2210 issues in seconds.

    Explore Marketing Compliance Review

    Investor Onboarding

    InvestPrep handles KYC, AML, and subscription documents end-to-end.

    Explore Investor Onboarding

    Private Fund compliance in other states

    CaliforniaNew YorkTexasFloridaIllinoisMassachusettsPennsylvaniaNew JerseyColoradoWashingtonGeorgiaNorth CarolinaVirginiaNevadaOregonMichiganOhioMinnesotaConnecticutMarylandMissouriTennesseeUtahWisconsinIndiana

    Also exploring a different registration type? Arizona RIA · Arizona Broker-Dealer

    Ready to simplify Arizona compliance?

    Talk to a senior CCO in 24 hours. No sales gauntlet.

    Contact UsSign Up for Notifications