Kentucky Filing Fees: RIA, IAR, Broker-Dealer & Form D (2026)
What it actually costs to register and renew in Kentucky. Fees are paid to the KY Dept. of Financial Institutions.
RIA firm registration
$100
$100 below the national median
Per IAR
$50
at the national median
Broker-dealer firm
$120
$130 below the national median
Per BD agent
$50
$10 below the national median
Form D / Blue Sky notice
$250
at the national median
Renewal
$100
Same as initial registration
Year-one cost scenarios in Kentucky
Solo state-registered RIA (1 IAR) in Kentucky
$100 firm + $50 IAR + $150 IARD system + $45 IAR system
$345
RIA with 3 investment adviser representatives
$100 firm + 3 × $50 IAR + IARD system fees
$535
Broker-dealer with 5 registered agents
$120 firm + 5 × $50 agent (excludes FINRA/CRD fees)
$370
Private fund Form D notice filing (Kentucky investors)
State Blue Sky notice fee, due within 15 days of first sale
$250
Filing fees only. Excludes compliance-manual drafting, Form ADV preparation, consulting, legal, E&O, and FINRA membership costs. Verify amounts with the KY Dept. of Financial Institutions 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 Kentucky and any other jurisdictions you need.
Frequently asked questions
How much does it cost to register as an investment adviser in Kentucky?
Kentucky charges $100 for investment adviser firm registration and $50 per investment adviser representative. Adding FINRA IARD system fees ($150 firm, $45 per IAR), a solo RIA should budget roughly $345 in year-one filing fees, excluding legal, consulting, and compliance-manual costs.
What is the Kentucky IAR registration fee?
$50 per investment adviser representative, paid through IARD to the KY Dept. of Financial Institutions. That is at the national median.
What does a broker-dealer pay to register in Kentucky?
$120 for the broker-dealer firm and $50 per registered agent, paid through CRD to the KY Dept. of Financial Institutions. FINRA membership and CRD fees are separate.
What is the Kentucky Form D / Blue Sky notice filing fee?
$250 per offering for a Regulation D 506(b) or 506(c) notice filing when Kentucky 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 Kentucky charge the same fee to renew?
Yes — Kentucky charges the same amounts at annual renewal, so a solo RIA should plan on roughly $345 per year in recurring state and IARD fees.