Get the free Form ADV-W - SEC.gov

FORM ADV Uniform Application for Investment Adviser Registration Part II Page 1 Name of Investment Adviser: Smart401k, LLC Address: (Number and Street) 11095 Met calf Ave. (City) Overland Park (State)

How to fill out form adv-w - secgov

How to Fill out Form ADV-W - SECgov:

1. Obtain the form: The Form ADV-W can be found on the website of the U.S. Securities and Exchange Commission (SECgov). Visit their website and search for Form ADV-W in order to access and download the form.
2. Understand the purpose: Form ADV-W is used to withdraw a registration as an investment adviser with the SEC. It is essential to carefully read the instructions and guidelines provided with the form to ensure accurate completion.
3. Basic information: Start by providing the basic information required on the form. This typically includes the name of the investment adviser, the SEC file number, the CRD number, and the date of filing.
4. Reason for withdrawal: Specify the reason for withdrawal, which is categorized into several options such as out-of-business, transferring to a state jurisdiction, or merging with another registered investment adviser. Select the appropriate reason and provide any necessary details.
5. Client and asset information: Include information about the adviser's clients, such as the number of clients affected by the withdrawal and the approximate value of assets being managed.
6. Notice requirements: Indicate whether any notice has been provided to clients regarding the withdrawal. This could involve providing a description of the notice and the methods used to communicate the withdrawal to clients.
7. Signature and date: Finally, sign and date the form. Ensure that the signatory has the authority to withdraw the registration and is familiar with the requirements of the form.

Who needs Form ADV-W - SECgov?

Form ADV-W is required for all investment advisers who want to withdraw their registration with the SEC. It is essential for investment advisers who are no longer actively providing advisory services or those who have transitioned to a state authority's jurisdiction. The form ensures that the SEC is properly notified of the adviser's decision to withdraw registration and helps maintain accurate records in the regulatory system.

For pdfFiller’s FAQs

What is form adv-w - secgov?

Form ADV-W is a form filed with the U.S. Securities and Exchange Commission (SEC) by investment advisers who are withdrawing their registration.

Who is required to file form adv-w - secgov?

Investment advisers who are withdrawing their registration are required to file form ADV-W with the SEC.

How to fill out form adv-w - secgov?

Form ADV-W can be filled out electronically on the SEC's Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv-w - secgov?

The purpose of form ADV-W is to formally withdraw the registration of an investment adviser with the SEC.

What information must be reported on form adv-w - secgov?

Form ADV-W requires information such as the name of the adviser, the date of withdrawal, and the reason for withdrawal.

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