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New York Registered Investment Adviser Compliance
New York is the financial capital with the strictest cybersecurity rules (23 NYCRR 500). 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 York
Any Registered Investment Adviser with a principal place of business in New York, or with clients located in New York above the de minimis threshold, must register with the New York State Department of Financial Services (NYDFS) or — if eligible — with the SEC.
New York-specific nuance
New York layers 23 NYCRR Part 500 cybersecurity obligations on top of SEC and state filings — annual certifications and CISO designation are non-negotiable.
Regulator: New York State Department of Financial Services (NYDFS)
Annual obligations for RIAs
The core federal calendar that applies on top of New York'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 York 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 York Broker-Dealer · New York Private Fund
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