SEC Form ADV-W

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Dictionary Says

Definition of 'SEC Form ADV-W'


The form used to withdraw registration as a Registered Investment Adviser with the SEC. This form has several schedules that must be completed listing the advisor's contact information, current business and status of clientele. A statement of financial condition, along with a description of books and records, is also required.

Investopedia Says

Investopedia explains 'SEC Form ADV-W'


This form is submitted when a RIA no longer wishes to maintain his or her active license to practice as an investment adviser. It is also used if the adviser is switching from federal to state registration. But advisers pursuing the latter course of action do not need to complete sections 1E through eight of the form. Other forms related to this filing include Form ADV-R and ADV-S.



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