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FORM ADV-W (Paper Version) NOTICE OF WITHDRAWAL FROM REGISTRATION AS AN INVESTMENT ADVISER Form ADV-W You must complete this Form ADV-W to withdraw your investment adviser registration with the SEC

How to fill out form adv w and

How to fill out Form ADV-W:

1. Begin by downloading or obtaining a copy of Form ADV-W from the appropriate regulatory authority's website or office.
2. Carefully read the instructions provided with the form to understand the requirements and the information you will need to complete it.
3. Start by filling out the top portion of the form, providing your name, the name of your investment advisory firm, and your firm's CRD number (if applicable).
4. Indicate the reason for filing Form ADV-W by checking the appropriate box. The options may include withdrawal of registration, cancellation, or termination of state securities registration, among others.
5. Provide details regarding the filing, such as the effective date, the reason for termination or withdrawal, and any additional explanations required.
6. If applicable, provide the necessary information concerning a successor advisor or any court actions related to your withdrawal or termination.
7. Complete any required supporting schedules or attachments that may be necessary based on the reason for filing Form ADV-W.

Who needs Form ADV-W:

1. Investment advisors who wish to withdraw their registration or terminate their state securities registration may need to file Form ADV-W.
2. Investment advisory firms that undergo certain changes, such as a merger with another firm or a change in control, may also be required to submit Form ADV-W.
3. Additionally, investment advisors who are no longer eligible for SEC registration or no longer meet state registration requirements may need to file Form ADV-W to withdraw their registration.

Note: It is important to consult the instructions provided with Form ADV-W and seek professional advice if you have any questions or uncertainties about the process or eligibility requirements.

For pdfFiller’s FAQs

What is form adv w and?

Form ADV-W is a form used by investment advisers to withdraw their registration with the Securities and Exchange Commission (SEC).

Who is required to file form adv w and?

Investment advisers who wish to withdraw their registration with the SEC are required to file Form ADV-W.

How to fill out form adv w and?

To fill out Form ADV-W, investment advisers need to provide their name, SEC file number, effective date of withdrawal, reason for withdrawal, and signature. The form can be submitted electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv w and?

The purpose of Form ADV-W is to notify the SEC of an investment adviser's intent to withdraw its registration, thereby terminating its status as a federally registered investment adviser.

What information must be reported on form adv w and?

Form ADV-W requires investment advisers to report their name, SEC file number, effective date of withdrawal, reason for withdrawal, and signature.

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