Washington Investment Adviser License Surety Bond

In accordance with WAC 460-24A-170 Investment advisers required to be registered must maintain a minimum net worth based upon the the way they manage or hold their clients funds.


  • If you have custody of client funds or securities, you must maintain at all times a minimum net worth of $35,000 unless provided otherwise in the chapter.
  • If you have discretionary authority over client funds or securities, but does not have custody of client funds or securities, you must maintain at all times a minimum net worth of $10,000.


If you do not meet the minimum net worth requirements above you must maintain a WA Investment Adviser Surety Bond in the amount of the net worth deficiency rounded up to the nearest $5,000.  

For example, if you have a net worth of $30,000 and you need to maintain a net worth of $35,000, you would need to post and maintain a $5,000 Investment Adviser Surety Bond.


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