Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser Page 2
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9Instructions for Form ADV-W
Page 2
you are unable to submit any filings during that time). However, you cannot enter any date other than December
31, and you can only enter a December 31 cease date after November 1.
4.
I have completed Form ADV-W and filed it with the SEC. When will it become effective?
Your Form ADV-W will become effective when it is filed with the SEC. However, your Form ADV-W will not
be deemed “filed” until the SEC receives it and determines that it is not deficient. The effective date of a Form
ADV-W filed with the state securities authorities may be different.
5.
How should I file my Form ADV-W?
You are required to file Form ADV-W electronically on the IARD.
In the event you are unable to submit an electronic filing, you must apply for a temporary or continuing hardship
exemption pursuant to rule 203-3. If you can rely on a temporary or continuing hardship exemption, you must
mail one manually signed Form ADV-W and one copy to: IARD Document Processing, FINRA, P.O. Box
9495, Gaithersburg, MD 20898-9495.
Whether you file on the IARD or are permitted to submit paper filings, you must preserve in your records a copy
of the Form ADV-W that you file with the SEC.
6.
What are the Schedules to Form ADV-W?
Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine
whether you are required to complete both Schedules, or only Schedule W1.
Schedule W1 is a “continuation page” for Item 5 and a “response page” for Item 8. The names of individuals
listed on Schedule W1 must be given in full. If you have assigned advisory contracts to another person (as
indicated on Item 5 of Form ADV-W), you must complete Section 5 of Schedule W1. If you are filing for full
withdrawal or you are a state-registered investment adviser, you must provide the name of each person who has
or will have custody or possession of your books and records, and each location where the records are or will be
kept (Item 8). You may have to complete multiple Schedule W1s, depending on the number of persons who
have or will have custody or possession of your books and records and/or the number of locations where your
records are or will be kept. Instruction number seven, below, provides several examples that should help you
properly respond to Item 8 to Form ADV-W.
Schedule W2 requires basic financial information relating to your investment advisory business. If you check
“yes” to Items 3, 4, or 6, you are required to complete Schedule W2.
7.
Questions about Item 8. The following examples are intended to assist you in completing Section 8 of Schedule
W1 for any persons who have or will have custody of your books and records, and the location(s) at which those
records are or will be kept.
a.
After I withdraw from registration, two persons (Persons A and B) will have custody of my books and
records, but my books and records will be kept at a single location. How should I complete the Schedule
W1?
You would complete two Schedules W1. The first would list Person A, and the location at which your
books and records will be kept. You would complete a second Schedule W1 that would list Person B, and
would list (again) the location at which your books and records will be kept.
b.
After I withdraw from registration, only one person will have custody of my books and records, but they
will be kept at three locations (Locations X, Y and Z). How should I complete the Schedule W1?
You would complete three Schedules W1. The first would list the person that will have custody of your
books and records, and Location X. The second Schedule W1 would list (again) the person that has or will
have custody of your books and records, and Location Y. The third Schedule W1 would list (again) the
person that has or will have custody of your books and records, and Location Z.
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