Paperwork

Renewal has two steps:

  1. payment of annual renewal fees to the Investment Adviser Registration Depository (IARD), which must be received by the IARD no later than December 14, 2020;
  2.  annual filing requirements, which are due within 90-120 days after the investment adviser’s fiscal year end (FYE).

As more information is available, it will be emailed to investment advisers at the email address listed in IARD. To be sure that you receive the information, please verify that your email address in IARD is correct.

2021 Renewal Calendar

Action Item Where/To Whom Action Due Date
Pay renewal fees IARD December 14, 2020
File Form ADV Parts 1 & 2 IARD 90 days after the Adviser’s FYE
Deliver or Offer Form ADV Part 2 Clients 120 days after the Adviser’s FYE
File GAAP Balance Sheet IALICENSING@DFI.WA.GOV 120 days after the Adviser’s FYE
File Fund Audit (Private Fund only) IALICENSING@DFI.WA.GOV 120 days after the Fund’s FYE

In addition, investment advisers who plan to terminate their registrations may file a post-dated Form ADV-W starting on November 1. The forms must be dated December 31, 2020.

The deadline to file Form ADV Part 1 and 2 updates for 12/31 filers is March 31.

The deadline to file balance sheets and fund audits for 12/31 filers is April 30.