Connecticut Filing Fees: RIA, IAR, Broker-Dealer & Form D (2026)
What it actually costs to register and renew in Connecticut. Fees are paid to the CT Dept. of Banking, Securities Division.
RIA firm registration
$250
$50 above the national median
Per IAR
$100
$40 above the national median
Broker-dealer firm
$250
at the national median
Per BD agent
$80
$30 above the national median
Form D / Blue Sky notice
$150
$100 below the national median
Renewal
$250
Same as initial registration
Year-one cost scenarios in Connecticut
Solo state-registered RIA (1 IAR) in Connecticut
$250 firm + $100 IAR + $150 IARD system + $45 IAR system
$545
RIA with 3 investment adviser representatives
$250 firm + 3 × $100 IAR + IARD system fees
$835
Broker-dealer with 5 registered agents
$250 firm + 5 × $80 agent (excludes FINRA/CRD fees)
$650
Private fund Form D notice filing (Connecticut investors)
State Blue Sky notice fee, due within 15 days of first sale
$150
Filing fees only. Excludes compliance-manual drafting, Form ADV preparation, consulting, legal, E&O, and FINRA membership costs. Verify amounts with the CT Dept. of Banking, Securities Division before filing.
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Our registration calculator adds filing fees, Form ADV drafting, policies and procedures, and ongoing consulting into one budget for Connecticut and any other jurisdictions you need.
Frequently asked questions
How much does it cost to register as an investment adviser in Connecticut?
Connecticut charges $250 for investment adviser firm registration and $100 per investment adviser representative. Adding FINRA IARD system fees ($150 firm, $45 per IAR), a solo RIA should budget roughly $545 in year-one filing fees, excluding legal, consulting, and compliance-manual costs.
What is the Connecticut IAR registration fee?
$100 per investment adviser representative, paid through IARD to the CT Dept. of Banking, Securities Division. That is $40 above the national median.
What does a broker-dealer pay to register in Connecticut?
$250 for the broker-dealer firm and $80 per registered agent, paid through CRD to the CT Dept. of Banking, Securities Division. FINRA membership and CRD fees are separate.
What is the Connecticut Form D / Blue Sky notice filing fee?
$150 per offering for a Regulation D 506(b) or 506(c) notice filing when Connecticut residents invest. The notice is generally due within 15 days of the first sale in the state.
Does Connecticut charge the same fee to renew?
Yes — Connecticut charges the same amounts at annual renewal, so a solo RIA should plan on roughly $545 per year in recurring state and IARD fees.