Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?
Rev. Code Wash. § 21.20.040(3)(b)(2017)
What is the maximum number of clients adviser can have in the state without triggering a notice filing?
Rev. Code Wash.§ 21.20.040(3)(b)(ii)(2017)
What sorts of clients are not counted for purposes of determining whether to notice file?
Investment advisers registered under this chapter, federal covered advisers, broker-dealers, banks, savings institutions, trust companies, insurance companies, investment companies as defined in the Investment Company Act of 1940, employee benefit plans with assets of not less than one million dollars, or governmental agencies or instrumentalities, whether acting for themselves or as trustees with investment control.
Rev. Code Wash.§ 21.20.040(3)(b)(i)(2017)
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