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
$340
$140 above the national median
Per IAR
$125
$75 above the national median
Broker-dealer firm
$340
$90 above the national median
Per BD agent
$125
$65 above the national median
Form D / Blue Sky notice
$150
$100 below the national median
Renewal
Varies
Reduced/different at renewal
Year-one cost scenarios in Connecticut
Solo state-registered RIA (1 IAR) in Connecticut
$340 firm + $125 IAR + $150 IARD system + $45 IAR system
$660
RIA with 3 investment adviser representatives
$340 firm + 3 × $125 IAR + IARD system fees
$1,000
Broker-dealer with 5 registered agents
$340 firm + 5 × $125 agent (excludes FINRA/CRD fees)
$965
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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Frequently asked questions
How much does it cost to register as an investment adviser in Connecticut?
Connecticut charges $340 for investment adviser firm registration and $125 per investment adviser representative. Adding FINRA IARD system fees ($150 firm, $45 per IAR), a solo RIA should budget roughly $660 in year-one filing fees, excluding legal, consulting, and compliance-manual costs.
What is the Connecticut IAR registration fee?
$125 per investment adviser representative, paid through IARD to the CT Dept. of Banking, Securities Division. That is $75 above the national median. Note: IA/BD firm renewal $215
What does a broker-dealer pay to register in Connecticut?
$340 for the broker-dealer firm and $125 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, plus the $160 NASAA EFD system fee. The notice is generally due within 15 days of the first sale in the state.
Does Connecticut charge the same fee to renew?
No — Connecticut renewal fees differ from initial registration. IA/BD firm renewal $215 Confirm current amounts with the CT Dept. of Banking, Securities Division before your renewal window.