WA investment advisor bonds.
From $100. Enter your amount.
Washington investment advisers who fall short of the minimum net worth in WAC 460-24A-170 can stay registered with the DFI Securities Division by posting a bond for the deficiency, rounded up to the nearest $5,000. The premium is 1.15% of the bond amount, $100 minimum — your exact price appears at the application, and the bond issues the moment you pay. Any credit screen is a soft pull only — it never affects your score.
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Three steps. One sitting.
No quote round-trip on the adviser bond — enter your amount, pay, and file with the Securities Division. Here is the whole thing:
Apply online
Firm details, years in business, the bond amount your deficiency requires, and an effective date. Any credit screen is a soft pull that never shows as a hard inquiry.
Pay & e-sign
Your exact price appears before you pay — 1.15% of the bond amount, $100 minimum — and the executed bond and power of attorney generate the moment you pay.
File with the Securities Division
Your executed bond arrives by email, ready to file with the DFI Securities Division for your investment adviser registration. Wet-ink original mailed on request.
What it is and who needs it.
What the adviser bond actually does
Washington registers investment advisers through the Department of Financial Institutions, Securities Division, under the Securities Act of Washington (chapter 21.20 RCW). Under that act the Securities Division sets minimum financial requirements for advisers by rule, and accepts a surety bond in the amount of any shortfall as an alternative method of compliance.
The numbers live in the rule. WAC 460-24A-170 requires an adviser with custody of client funds or securities to maintain a minimum net worth of $35,000, and an adviser with discretionary authority but no custody to maintain $10,000. An adviser who does not meet the minimum must maintain a bond in the amount of the deficiency, rounded up to the nearest $5,000 — which is why bond amounts here come in $5,000 steps.
The bond is issued by a carrier qualified to do business in Washington and is subject to the claims of all of your clients, wherever they reside. It is not insurance for you — if the surety pays a claim, you repay the surety. We track the term and send renewal notices 60 and 30 days out so your registration never sits unbonded.
You need this bond if you're
One application, issued instantly.
These are the actual issuing fields — firm details, the bond amount, an effective date, and a term. That is the entire application.
Start the application →Common questions.
Other Washington bonds.
Cure the net worth deficiency today.
1.15% of the bond amount, $100 minimum, issued the moment you pay. Free until issued.