Utah Filing Fees: RIA, IAR, Broker-Dealer & Form D (2026)
What it actually costs to register and renew in Utah. Fees are paid to the Utah Division of Securities.
RIA firm registration
$40
$160 below the national median
Per IAR
$30
$20 below the national median
Broker-dealer firm
$130
$120 below the national median
Per BD agent
$40
$20 below the national median
Form D / Blue Sky notice
$100
$150 below the national median
Renewal
Varies
Reduced/different at renewal
Year-one cost scenarios in Utah
Solo state-registered RIA (1 IAR) in Utah
$40 firm + $30 IAR + $150 IARD system + $45 IAR system
$265
RIA with 3 investment adviser representatives
$40 firm + 3 × $30 IAR + IARD system fees
$415
Broker-dealer with 5 registered agents
$130 firm + 5 × $40 agent (excludes FINRA/CRD fees)
$330
Private fund Form D notice filing (Utah investors)
State Blue Sky notice fee, due within 15 days of first sale
$100
Filing fees only. Excludes compliance-manual drafting, Form ADV preparation, consulting, legal, E&O, and FINRA membership costs. Verify amounts with the Utah Division of Securities before filing.
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Frequently asked questions
How much does it cost to register as an investment adviser in Utah?
Utah charges $40 for investment adviser firm registration and $30 per investment adviser representative. Adding FINRA IARD system fees ($150 firm, $45 per IAR), a solo RIA should budget roughly $265 in year-one filing fees, excluding legal, consulting, and compliance-manual costs.
What is the Utah IAR registration fee?
$30 per investment adviser representative, paid through IARD to the Utah Division of Securities. That is $20 below the national median. Note: IA firm renewal $70; Form D $0 up to $500K, $100 above
What does a broker-dealer pay to register in Utah?
$130 for the broker-dealer firm and $40 per registered agent, paid through CRD to the Utah Division of Securities. FINRA membership and CRD fees are separate.
What is the Utah Form D / Blue Sky notice filing fee?
$100 per offering for a Regulation D 506(b) or 506(c) notice filing when Utah 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 Utah charge the same fee to renew?
No — Utah renewal fees differ from initial registration. IA firm renewal $70; Form D $0 up to $500K, $100 above Confirm current amounts with the Utah Division of Securities before your renewal window.