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New Jersey Registered Investment Adviser Compliance
New Jersey is a state with one of the country's first fiduciary rules. 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 New Jersey
Any Registered Investment Adviser with a principal place of business in New Jersey, or with clients located in New Jersey above the de minimis threshold, must register with the New Jersey Bureau of Securities or — if eligible — with the SEC.
New Jersey-specific nuance
New Jersey's fiduciary rule (N.J.A.C. 13:47A-6.4) requires RIAs and BDs to act in clients' best interest, with detailed disclosure obligations.
Regulator: New Jersey Bureau of Securities
Annual obligations for RIAs
The core federal calendar that applies on top of New Jersey'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 New Jersey 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? New Jersey Broker-Dealer · New Jersey Private Fund
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