Washington Filing Fees: RIA, IAR, Broker-Dealer & Form D (2026)
What it actually costs to register and renew in Washington. Fees are paid to the WA Dept. of Financial Institutions, Securities Div..
RIA firm registration
$175
$25 below the national median
Per IAR
$50
$10 below the national median
Broker-dealer firm
$200
$50 below the national median
Per BD agent
$40
$10 below the national median
Form D / Blue Sky notice
$300
$50 above the national median
Renewal
Varies
Reduced/different at renewal
Year-one cost scenarios in Washington
Solo state-registered RIA (1 IAR) in Washington
$175 firm + $50 IAR + $150 IARD system + $45 IAR system
$420
RIA with 3 investment adviser representatives
$175 firm + 3 × $50 IAR + IARD system fees
$610
Broker-dealer with 5 registered agents
$200 firm + 5 × $40 agent (excludes FINRA/CRD fees)
$400
Private fund Form D notice filing (Washington 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 WA Dept. of Financial Institutions, Securities Div. before filing.
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Frequently asked questions
How much does it cost to register as an investment adviser in Washington?
Washington charges $175 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 $420 in year-one filing fees, excluding legal, consulting, and compliance-manual costs.
What is the Washington IAR registration fee?
$50 per investment adviser representative, paid through IARD to the WA Dept. of Financial Institutions, Securities Div.. That is $10 below the national median. Note: Renewal: $100 IA firm
What does a broker-dealer pay to register in Washington?
$200 for the broker-dealer firm and $40 per registered agent, paid through CRD to the WA Dept. of Financial Institutions, Securities Div.. FINRA membership and CRD fees are separate.
What is the Washington Form D / Blue Sky notice filing fee?
$300 per offering for a Regulation D 506(b) or 506(c) notice filing when Washington residents invest. The notice is generally due within 15 days of the first sale in the state.
Does Washington charge the same fee to renew?
No — Washington renewal fees differ from initial registration. Renewal: $100 IA firm Confirm current amounts with the WA Dept. of Financial Institutions, Securities Div. before your renewal window.