Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser

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FORM ADV-W
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(Paper Version)
NOTICE OF WITHDRAWAL FROM REGISTRATION AS AN INVESTMENT
ADVISER
Instructions for Form ADV-W
NOTE:
Unless the context clearly indicates otherwise, all terms used in the Form have the same meaning as in
the Investment Advisers Act of 1940 and in the General Rules and Regulations of the Commission thereunder
(17 Code of Federal Regulations 275).
1.
We would like to withdraw from registration as an investment adviser. What do we need to do?
You must determine whether you are filing for partial withdrawal or full withdrawal.
A partial withdrawal is when you are withdrawing from investment adviser registration with some, but not
all, of the jurisdictions where you are registered (or have an application for registration pending). For
example, you would file for partial withdrawal if you are switching from state registration to SEC
registration (or vice versa). Similarly, you would file for partial withdrawal if you are a state-registered
adviser and are withdrawing from some, but not all, of the states with which you are registered (or have an
application for registration pending).
A full withdrawal is when you are withdrawing from all of the jurisdictions with which you are registered
(or have an application pending).
If you are filing for partial withdrawal and switching from SEC to state registration, you must complete the
Status Section, Items 1A through 1D, and the Execution Section. You do not need to complete Items 1E
through 8 of Form ADV-W.
If you are filing for partial withdrawal and switching from state to SEC registration, you must complete the
entire Form ADV-W.
If you are registered only with the state securities authorities and withdrawing from some, but not all, of the
states where you are registered, you must complete the entire Form ADV-W.
If you are filing for full withdrawal, you must complete the entire Form ADV-W.
2.
We are going out of business. Does this change how we would answer particular questions on the Form
ADV-W?
Yes. The purpose of Item 1D is so that we can contact you if the Form ADV-W is deficient or if we have
questions. If you are going out of business, make sure you list in Item 1D an address and phone number at
which we can reach the contact employee.
3.
I am a state registered adviser filing for partial withdrawal. How do I complete Item 2?
If you are a state registered adviser ceasing advisory business in any of the jurisdictions from which you are
withdrawing, check “yes.” On the next line, provide the date on which you are ceasing advisory business in
these jurisdictions (however, if you cease conducting advisory business on different dates in different
jurisdictions, you must complete a separate Form ADV-W for each different date). The date you provide in this
blank must be on or before the date you file Form ADV-W. Then, provide the reasons you are filing for
withdrawal (regardless of whether you are filing for partial or complete withdrawal).
You are permitted to “post-date” the Form ADV-W to December 31 anytime between November 1 and
December 31. You are permitted to enter a cease date of December 31 to avoid being charged state renewal
fees in jurisdictions from which you are withdrawing (during the last part of December each year the IARD
suspends filing operations for several days to process renewals of state registrations and state notice filings; and
SEC777 (11-10)

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