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Get Sec Form Adv-w 2017-2025
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How to fill out the SEC Form ADV-W online
Filing the SEC Form ADV-W is essential for investment advisers who wish to withdraw from registration. This guide provides clear, step-by-step instructions for completing the form online, ensuring a smooth and compliant withdrawal process.
Follow the steps to fill out the SEC Form ADV-W online.
- Click ‘Get Form’ button to obtain the form and open it in the editor.
- Determine whether you are filing for a full or partial withdrawal. A full withdrawal indicates you are withdrawing from all jurisdictions, while a partial withdrawal means you are withdrawing from some jurisdictions only. Ensure you select the appropriate option in the Status section.
- In the Identifying Information section, provide your full legal name, SEC file number, and CRD number if applicable. Also, add the name and business address of a contact employee who is authorized to handle inquiries regarding the form.
- Indicate the status of your advisory business. Specify if you have ceased conducting business in the jurisdictions from which you are withdrawing, and provide the relevant dates.
- Complete the sections related to custody and money owed to clients if applicable. Specify details about any custody of client assets and any outstanding obligations.
- Fill in the Advisory Contracts and Judgments and Liens sections where you indicate if you have assigned any advisory contracts and if there are any unsatisfied judgments against you.
- Detail the necessary information in the Books and Records section. List individuals who will have custody of your books and records, and the locations where these records will be kept.
- Review the Execution section and ensure the form is signed by an authorized individual representing your advisory firm. Include the date and title of the signer.
- After completing the form, check for any additional information that may be required and ensure all details are accurate. Save changes before finalizing your filing.
- You may then download, print, or share the form as necessary, ensuring that you keep a copy for your records.
Start completing your SEC Form ADV-W online today to ensure a seamless withdrawal process.
An investment adviser seeking ERA status must complete an exempt reporting adviser (ERA) filing with the SEC within 60 days of claiming the exemption. This is typically the date of the fund manager's first fund's initial close. Additionally, an ERA must update its filing annually.
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