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    Tennessee Registered Investment Adviser Compliance

    Tennessee is a growing BD state. 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 Tennessee

    Any Registered Investment Adviser with a principal place of business in Tennessee, or with clients located in Tennessee above the de minimis threshold, must register with the Tennessee Department of Commerce & Insurance — Securities Division or — if eligible — with the SEC.

    Tennessee-specific nuance

    Tennessee charges $200 for RIA registration and $50 per IAR, with an annual renewal due December 31.

    Regulator: Tennessee Department of Commerce & Insurance — Securities Division

    Annual obligations for RIAs

    The core federal calendar that applies on top of Tennessee'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 Tennessee 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 JerseyColoradoWashingtonGeorgiaNorth CarolinaVirginiaArizonaNevadaOregonMichiganOhioMinnesotaConnecticutMarylandMissouriUtahWisconsinIndiana

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

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