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.


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.

  1. SEC Form ADV

    The application for registration as an investment adviser or ...
  2. SEC Form 10

    SEC Form 10 is a filing with the Securities and Exchange Commission ...
  3. SEC Form AW

    A filing with the Securities and Exchange Commission (SEC) that ...
  4. Investment Adviser Registration ...

    An electronic system through which investment advisers register ...
  5. SEC Form SP15D2

    A form that concerns the filing of a special financial report ...
  6. Registered Investment Advisor - ...

    An advisor or firm engaged in the investment advisory business ...
Related Articles
  1. Investing

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  2. Financial Advisor

    The Pros & Cons of a Financial Advisor Career

    Discover what a career as a financial adviser entails, and learn what pros and cons an individual faces when embarking on a career in this field.
  3. Taxes

    What IRS Form 1023 Is Used For

    To be treated as a tax-exempt organization, start by filling out this form.
  4. Taxes

    What's IRS Form 2848 Used For?

    It's a power of attorney tax form and here's what it can, and cannot, do.
  5. Insights

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  6. Taxes

    Late with Your Taxes? Grab IRS Form 4868

    Fill out this form to get a few more months to file your tax return. But remember, April 15 (17, in 2018) is still the payment due date if you owe taxes.
  7. Financial Advisor

    Is Greater Oversight of RIAs Coming?

    RIAs may be entering an era of greater oversight by the Securities and Exchange Commission. Here's why.
  8. Retirement

    Employers: Don't Forget IRS Form 941

    Your obligations as an employer include various employment taxes. Use this form to report them.
  9. Financial Advisor

    4 Signs Your Financial Advisor Is Ripping You Off

    Pay attention to the habits of your financial adviser to avoid him ripping you off by commingling, churning, scamming or embezzling your money.
  1. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  2. How do I register for the CFA program for the first time?

    CFA Institute provides prospective CFA candidates with a couple registration options.1) Online Registration: This is the ... Read Answer >>
  3. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  4. Why is it important for a financial advisor to have a unique value proposition?

    Understand the elements that make up a unique value proposition and why it's especially important for financial advisers ... Read Answer >>
  5. Who needs to fill out IRS Form Schedule B?

    If you have several investments, there's a good chance you'll need to fill out a IRS Form Schedule B. Read Answer >>
Trading Center