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Florida Registered Investment Adviser Compliance
Florida is a top destination for relocating wealth managers. FIN Group provides fractional CCO services, Form ADV filings, annual reviews, and exam support for Registered Investment Advisers operating here.
Who needs to register in Florida
Any Registered Investment Adviser with a principal place of business in Florida, or with clients located in Florida above the de minimis threshold, must register with the Florida Office of Financial Regulation (OFR) or — if eligible — with the SEC.
Florida-specific nuance
Florida charges $200 for state RIA registration and requires a Form U4 for each IAR, with annual renewal due December 31.
Regulator: Florida Office of Financial Regulation (OFR)
Annual obligations for RIAs
The core federal calendar that applies on top of Florida's requirements:
- File Form ADV Part 1A and Part 2A brochure within 90 days of fiscal year end
- Deliver Form ADV Part 2 brochure and any material changes annually
- Maintain Books & Records per Rule 204-2 for at least 5 years
- Conduct an annual compliance program review under Rule 206(4)-7
- Comply with the Marketing Rule (Rule 206(4)-1) for any testimonials, endorsements, or performance advertising
- Maintain a written Code of Ethics and quarterly personal trading reports
How FIN Group helps Florida RIAs
Fractional CCO
A named, senior CCO who owns your Form ADV filings, annual review, and exam response.
Explore Fractional CCOCompliance Calendar Software
RegReview tracks every state, federal, and firm-level deadline with automatic reminders.
Explore Compliance Calendar SoftwareMarketing Compliance Review
ADScanner reviews every piece of marketing for Rule 206(4)-1 / FINRA 2210 issues in seconds.
Explore Marketing Compliance ReviewInvestor Onboarding
InvestPrep handles KYC, AML, and subscription documents end-to-end.
Explore Investor OnboardingRIA compliance in other states
Also exploring a different registration type? Florida Broker-Dealer · Florida Private Fund
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