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RIA Notice Filing Fees

Practices

Florida

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

Yes.
FLA. STAT. ANN. § 517.1201(9) and (14)(b)(8) (2017)

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

5
FLA. STAT. ANN. § 517.1201(9) and (14)(b)(8) (2017)

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

Insurance or investment companies.
FLA. STAT. ANN. § 517.021(14)(b)(6)(2017)


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.