Skip to main content

    Home / Compliance / Utah / Private Fund

    Utah Private Fund Manager / Exempt Reporting Adviser Compliance

    Utah is a fintech-friendly jurisdiction. FIN Group provides fractional CCO services, Form ADV (Part 1A only for ERAs) filings, annual reviews, and exam support for Private Fund Manager / Exempt Reporting Advisers operating here.

    Contact Us See Pricing

    Who needs to register in Utah

    Any Private Fund Manager / Exempt Reporting Adviser with a principal place of business in Utah, or with clients located in Utah above the de minimis threshold, must register with the Utah Division of Securities or — if eligible — with the SEC.

    Utah-specific nuance

    Utah charges $100 for RIA registration and has a dedicated regulatory sandbox for fintech and adviser innovation.

    Regulator: Utah Division of Securities

    Annual obligations for Private Funds

    The core federal calendar that applies on top of Utah's requirements:

    • File Form ADV Part 1A within 60 days of crossing $150M AUM threshold for full registration
    • File Form PF for private fund advisers with $150M+ in private fund AUM
    • Comply with the new Private Fund Adviser Rules (quarterly statements, annual audit, fairness opinions)
    • Maintain a written compliance program addressing valuation, allocations, and conflicts
    • Custody Rule (206(4)-2) compliance via qualified custodian and annual surprise audit
    • Investor side-letter tracking and most-favored-nation disclosures

    How FIN Group helps Utah Private Funds

    Fractional CCO

    A named, senior CCO who owns your Form ADV (Part 1A only for ERAs) filings, annual review, and exam response.

    Explore Fractional CCO

    Compliance Calendar Software

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

    Explore Compliance Calendar Software

    Marketing Compliance Review

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

    Explore Marketing Compliance Review

    Investor Onboarding

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

    Explore Investor Onboarding

    Private Fund compliance in other states

    CaliforniaNew YorkTexasFloridaIllinoisMassachusettsPennsylvaniaNew JerseyColoradoWashingtonGeorgiaNorth CarolinaVirginiaArizonaNevadaOregonMichiganOhioMinnesotaConnecticutMarylandMissouriTennesseeWisconsinIndiana

    Also exploring a different registration type? Utah RIA · Utah Broker-Dealer

    Ready to simplify Utah compliance?

    Talk to a senior CCO in 24 hours. No sales gauntlet.

    Contact UsSign Up for Notifications