AdvisorCensus / Financial advisors / Kansas / Regulator
Who regulates financial advisors in Kansas
Investment advisory firms with a principal office in Kansas register with the Kansas Department of Insurance or with the SEC, generally depending on their size. AdvisorCensus lists 129 state-registered and 134 SEC-registered firms there, and 14 exempt reporting advisers, from Form ADV filings as of October 2026.
The state securities regulator
Kansas Department of Insurance: its website. Address, phone, and contacts are in NASAA's directory entry for Kansas; the agency named here is the one the North American Securities Administrators Association lists for the state. Links checked October 5, 2026.
Who registers with the state
Generally, an adviser managing less than $100 million in regulatory assets registers with the securities regulator of its home state, and a larger one registers with the SEC. Exempt reporting advisers, mostly managers of private funds, file reports with the SEC instead of registering. 129 firms with a principal office in Kansas are state-registered: the state-registered firms in Kansas.
SEC-registered firms in the state
An SEC-registered firm doing business in Kansas makes a notice filing with the state, and its investment adviser representatives with a place of business there generally register with the state. The state can also act on fraud by any investment adviser.
Checking a firm or a person
- IAPD has the Form ADV of every SEC- and state-registered firm and the registrations of investment adviser representatives; BrokerCheck covers brokers.
- Each AdvisorCensus firm page shows the firm's registration, its disclosure answers, and a link to its IAPD record.
- To complain about a firm or a person in Kansas, contact the Kansas Department of Insurance.
More in SEC, state, and exempt registration. AdvisorCensus is not affiliated with any government agency.
Cite this page
AdvisorCensus. Who regulates financial advisors in Kansas. https://advisorcensus.com/advisors/ks/regulator https://advisorcensus.com/advisors/ks/regulator