Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?
Yes.
CONN. GEN. STAT. § 36b-6(e)(2017)
What is the maximum number of clients adviser can have in the state without triggering a notice filing?
5
CONN. GEN. STAT. § 36b-6(e)(2017)
What sorts of clients are not counted for purposes of determining whether to notice file?
Connecticut does not have an exclusion for institutional clients.
CONN. GEN. STAT. § 36b-6(e)(2017)
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