Form ADV-W
Form ADV-W is the form an investment adviser files through IARD to withdraw from registration. A full withdrawal ends the firm's registration entirely; a partial withdrawal ends registration in specific states while the firm remains registered elsewhere.
Caddi AI agents assemble the books-and-records package and reconcile outstanding fees. Free to try.
- Who handles it
- Investment advisers withdrawing from SEC or state registration, including firms winding down, being acquired, or crossing a threshold that changes their registration.
- Filed through
- IARD
- Applies to
- SEC-registered RIA, State-registered RIA
What the form asks for
- Reason for withdrawal
- Identifying information and successor firm where applicable
- Location of books and records after withdrawal
- Custody and client asset disposition
- Outstanding client obligations and fee refunds
The work behind the filing
Assemble the books-and-records package
Withdrawal does not end the record retention obligation, and it does put a deadline on knowing where every record is. Caddi can inventory and consolidate the record set across the document systems the firm actually used.
Reconcile outstanding fees and client obligations
Prepaid fee refunds and final billing have to be settled and evidenced. Caddi can reconcile the billing system against the client roster and produce the settlement record.
Want help automating the filing and filling of these forms?
- Caddi fills the form with data pulled from Box, SharePoint, Egnyte, and Google Drive.
- It checks every field against the client record and the last filing, then hands your team a finished form to sign off and submit.
Get an email the day Form ADV-W changes
We check the SEC, FINRA, NASAA, and IRS forms, plus the custodian forms that are public, through the day. When a new version is published, you hear about it that day, with a link to the new file.
FAQs
4
What is Form ADV-W?
Form ADV-W is the form investment advisers file through IARD to withdraw from registration, either fully or partially by state.
What is the difference between a full and partial Form ADV-W?
A full withdrawal ends the firm's registration entirely. A partial withdrawal ends registration in specific states while the firm remains registered elsewhere.
Do books and records obligations end when I file Form ADV-W?
No. Record retention obligations survive withdrawal, and the form itself asks where the records will be kept.
Does Caddi file this form for me?
No. Caddi does not submit filings to IARD, FINRA Gateway, EDGAR, or any regulator, and it is not a substitute for your compliance program or your CCO. Caddi automates the work around the filing: gathering the underlying data out of your portfolio, CRM, and document systems, reconciling it against the prior filing, flagging what changed, and evidencing delivery. A human still reviews and files.
Related forms
This page describes what the form is and the work it creates. For requirements, deadlines, and whether any of it applies to your firm, see SEC — Form ADV-W.