Get the free INVESTMENT ADVISER SUCCESSION FORM - dfiwagov - dfi wa

STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION PO Box 9033 Olympia, WA 985019033 (360) 9028815 IALicensing@dfi.wa.gov

How to fill out investment adviser succession form

How to fill out investment adviser succession form:

1. Obtain the form: Start by obtaining the investment adviser succession form from the relevant regulatory authority or organization overseeing investment advisers. This form may also be available online for download.
2. Review the instructions: Before you begin filling out the form, carefully review the instructions provided with it. These instructions will guide you through the process and provide important information on how to complete each section.
3. Gather the necessary information: Collect all the required information and documents that will be needed to complete the form. This may include details about the current investment adviser, the successor adviser, and any other relevant parties.
4. Provide basic information: Begin by entering the basic information requested on the form. This typically includes the legal name, contact information, and registration numbers of both the current and successor advisers.
5. Describe the succession plan: In a designated section, provide a detailed description of the succession plan. This should clearly outline the proposed transfer of ownership or control of the investment advisory firm. Include information such as any conditions or restrictions, anticipated timeline, and the roles and responsibilities of those involved.
6. Disclose any material changes: If there have been any material changes to the information previously submitted to the regulatory authority, make sure to disclose them in the appropriate section of the form. This may include changes in ownership, control, or the structure of the firm.
7. Attach supporting documents: If there are any supporting documents required to accompany the form, ensure that they are properly prepared and attached. These may include legal agreements, contracts, financial statements, or any other documents requested by the regulatory authority.
8. Review and submit the form: Once you have completed all the necessary sections and attached any required documents, carefully review the form for accuracy and completeness. Make any necessary corrections or additions before submitting it to the regulatory authority.

Who needs investment adviser succession form:

1. Investment advisers undergoing a change in ownership or control: Any investment adviser firm that is going through a change in ownership or control will typically need to complete the investment adviser succession form. This includes situations such as mergers, acquisitions, or transfers of ownership within the firm.
2. Investment advisers planning for future transitions: Even if there are no immediate plans for a change in ownership or control, investment advisers may still need to submit a succession form as part of their regulatory requirements. This allows the regulatory authority to have updated information on file and ensures compliance with any applicable regulations.
3. Regulatory authorities overseeing investment advisers: The investment adviser succession form is necessary for regulatory authorities to monitor and oversee the changes happening within the investment advisory industry. By requiring investment advisers to complete this form, regulatory authorities can maintain accurate records and ensure compliance with relevant rules and regulations.

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