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    North Carolina Registered Investment Adviser Compliance

    North Carolina is a top-10 state for RIA growth. FIN Group provides fractional CCO services, Form ADV filings, annual reviews, and exam support for Registered Investment Advisers operating here.

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    Who needs to register in North Carolina

    Any Registered Investment Adviser with a principal place of business in North Carolina, or with clients located in North Carolina above the de minimis threshold, must register with the North Carolina Secretary of State — Securities Division or — if eligible — with the SEC.

    North Carolina-specific nuance

    North Carolina charges a $200 RIA filing fee and requires a specific NC investment adviser supplement to Form ADV Part 2.

    Regulator: North Carolina Secretary of State — Securities Division

    Annual obligations for RIAs

    The core federal calendar that applies on top of North Carolina'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 North Carolina RIAs

    Fractional CCO

    A named, senior CCO who owns your Form ADV filings, annual review, and exam response.

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    Compliance Calendar Software

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

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    Marketing Compliance Review

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

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    Investor Onboarding

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

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    RIA compliance in other states

    CaliforniaNew YorkTexasFloridaIllinoisMassachusettsPennsylvaniaNew JerseyColoradoWashingtonGeorgiaVirginiaArizonaNevadaOregonMichiganOhioMinnesotaConnecticutMarylandMissouriTennesseeUtahWisconsinIndiana

    Also exploring a different registration type? North Carolina Broker-Dealer · North Carolina Private Fund

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