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Washington, D.C.

Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?

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Yes.&nbsp; D.C. CODE §31-5602.03(d)(1)(2017) D.C. CODE §31-5602.02(a) and (d)(2017)

What is the maximum number of clients adviser can have in the state without triggering a notice filing?

What sorts of clients are not counted for purposes of determining whether to notice file?

Investment advisers, federal covered advisers, broker-dealers, investment companies as defined in the Investment Company Act of 1940, depository institutions, insurance companies, employee benefit plans with assets of not less than $1 million, governmental agencies or instrumentalities (whether acting for themselves or as trustees with investment control), or other institutional investors as are designated by rule or order of the Commissioner.

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Viewing of these pages does not establish an attorney-client relationship. The information above is informational purposes only and should not be construed as legal advice. A lawyer should be consulted to confirm both applicability and any other issues that might affect or apply to your situation.

District of Columbia