Washington Form ADV-NR is a filing requirement for investment advisers located in Washington State. It is a form that must be completed and submitted to the Washington State Department of Financial Institutions (DFI) as part of the registration process. The form is composed of two parts: Part 1A and Part 2. Part 1A is a disclosure document that outlines the investment adviser’s business information and services. Part 2 contains a variety of questions related to the investment adviser’s activities, such as fees, conflicts of interest, and other potential areas of concern. Washington Form ADV-NR is also known as the Washington State Investment Adviser Registration Form. There are two types of Washington Form ADV-NR: Initial and Renewal. An Initial Washington Form ADV-NR must be completed and submitted when an investment adviser is registering with the DFI for the first time. A Renewal Washington Form ADV-NR must be completed and submitted annually in order to renew the investment adviser’s registration with the DFI.
Washington Form ADV-NR
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FAQ
Form ADV-W is used by Investment Adviser firms to terminate registration with the SEC and/or states and jurisdictions. Exempt Reporting Advisers (ERA) should reference the Form ADV Quick Reference Guide for information on how to withdraw (i.e., submit a Final filing).
Anyone who provides investment services to their clients is expected to file SEC Form ADV. This includes investment firms or individual advisers. It serves as a registration form with the Securities and Exchange Commission and it must also be filed with one or more state securities authorities.
2 A private fund identification number is a unique identification number for each fund. Advisers must obtain an identification number for each private fund by logging onto the Investment Adviser Registration Depository (IARD) Web site and using the private fund identification number generator.
The accountant must file the required surprise examination report within 120 days of the surprise examination and, upon resignation or dismissal, will file a Form ADV-E that may be required to include a statement terminating the surprise examination agreement with the firm.
Complete Schedule A only if you are submitting an initial application. Schedule A asks for information about your direct owners and executive officers. Use Schedule C to amend this information.
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.
Exempt Reporting Advisers (ERAs) are investment advisers that are not required to register as an adviser with the U.S. Securities Exchange Commission (SEC) or state regulators, but must still pay fees and report public information via the IARD/FINRA system.
Who Is Responsible for Filing Form ADV-E? Investment advisers that have custody of client financial assets or securities are required to file Form ADV-E, which makes sure advisers adhere to regulations.