SEC Form ADV-W

AAA

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 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.

RELATED TERMS
  1. SEC Form 1-E

    A notification form required by the SEC. This form lists all ...
  2. ADV Form

    A required submission to the Securities and Exchange Commission ...
  3. Advisor

    1. The person or company responsible for making investments on ...
  4. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  5. SEC Form F-1

    A filing with the Securities and Exchange Commission (SEC) required ...
  6. Plant Patent

    An intellectual property right that protects a new and unique ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

  3. Where can I find a company's annual ...
    Investing

    Where can I find a company's annual ...

  4. What parties are involved in the creation ...
    Investing

    What parties are involved in the creation ...

comments powered by Disqus
Hot Definitions
  1. Halloween Massacre

    Canada's decision to tax all income trusts domiciled in Canada. In October 2006, Canada's minister of finance, Jim Flaherty, ...
  2. Zombies

    Companies that continue to operate even though they are insolvent or near bankruptcy. Zombies often become casualties to ...
  3. Witching Hour

    The last hour of stock trading between 3pm (when the bond market closes) and 4pm EST. Witching hour is typically controlled ...
  4. October Effect

    The theory that stocks tend to decline during the month of October. The October effect is considered mainly to be a psychological ...
  5. Repurchase Agreement - Repo

    A form of short-term borrowing for dealers in government securities.
  6. Correlation

    In the world of finance, a statistical measure of how two securities move in relation to each other. Correlations are used ...
Trading Center