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

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Yes. KY. REV. STAT. ANN. § 292.332(1), (2) and (3)(2017) KY. REV. STAT. ANN. § 292.310(5)(2017)

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

5 KY. REV. STAT. ANN. § 292.332(3)(b)(2017)

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

Investment advisers, covered advisers, broker-dealers, banks, savings institutions, trust companies, insurance companies, pension or profit-sharing trusts, or other financial institutions or institutional buyers, whether acting for themselves or as trustees.&nbsp;

KY. REV. STAT. ANN. § 292.332(3)(a)(2017)&nbsp; KY. REV. STAT. ANN. § 292.310(5)(2017)

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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.

Kentucky