Rhode Island Filing Fees: RIA, IAR, Broker-Dealer & Form D (2026)
What it actually costs to register and renew in Rhode Island. Fees are paid to the RI Dept. of Business Regulation, Securities Div..
RIA firm registration
$300
$100 above the national median
Per IAR
$60
$10 above the national median
Broker-dealer firm
$300
$50 above the national median
Per BD agent
$100
$40 above the national median
Form D / Blue Sky notice
$300
$50 above the national median
Renewal
$300
Same as initial registration
Year-one cost scenarios in Rhode Island
Solo state-registered RIA (1 IAR) in Rhode Island
$300 firm + $60 IAR + $150 IARD system + $45 IAR system
$555
RIA with 3 investment adviser representatives
$300 firm + 3 × $60 IAR + IARD system fees
$765
Broker-dealer with 5 registered agents
$300 firm + 5 × $100 agent (excludes FINRA/CRD fees)
$800
Private fund Form D notice filing (Rhode Island investors)
State Blue Sky notice fee, due within 15 days of first sale
$300
Filing fees only. Excludes compliance-manual drafting, Form ADV preparation, consulting, legal, E&O, and FINRA membership costs. Verify amounts with the RI Dept. of Business Regulation, Securities Div. before filing.
Want the all-in Rhode Island number?
Our registration calculator adds filing fees, Form ADV drafting, policies and procedures, and ongoing consulting into one budget for Rhode Island and any other jurisdictions you need.
Frequently asked questions
How much does it cost to register as an investment adviser in Rhode Island?
Rhode Island charges $300 for investment adviser firm registration and $60 per investment adviser representative. Adding FINRA IARD system fees ($150 firm, $45 per IAR), a solo RIA should budget roughly $555 in year-one filing fees, excluding legal, consulting, and compliance-manual costs.
What is the Rhode Island IAR registration fee?
$60 per investment adviser representative, paid through IARD to the RI Dept. of Business Regulation, Securities Div.. That is $10 above the national median.
What does a broker-dealer pay to register in Rhode Island?
$300 for the broker-dealer firm and $100 per registered agent, paid through CRD to the RI Dept. of Business Regulation, Securities Div.. FINRA membership and CRD fees are separate.
What is the Rhode Island Form D / Blue Sky notice filing fee?
$300 per offering for a Regulation D 506(b) or 506(c) notice filing when Rhode Island 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 Rhode Island charge the same fee to renew?
Yes — Rhode Island charges the same amounts at annual renewal, so a solo RIA should plan on roughly $555 per year in recurring state and IARD fees.