at


Investment Adviser Firm Summary

PALISADE CAPITAL MANAGEMENT LLC (CRD# 104581 / SEC# 801-48401)
Alternate Names: PALISADE CAPITAL MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/07/1995

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/22/2009
Alaska 01/22/2009
Arizona 03/23/1995
Arkansas 01/22/2009
California 04/06/1995
Colorado 01/22/2009
Connecticut 08/05/1997
Delaware 04/29/2003
District of Columbia 03/25/1995
Florida 04/13/1995
Georgia 02/20/1995
Hawaii 01/22/2009
Idaho 01/22/2009
Illinois 03/24/1995
Indiana 11/08/2000
Iowa 01/23/2009
Kansas 01/22/2009
Kentucky 01/22/2009
Louisiana 01/22/2009
Maine 08/15/1995
Maryland 05/04/1995
Massachusetts 03/23/1995
Michigan 11/07/1997
Minnesota 04/06/2000
Mississippi 01/22/2009
Missouri 03/15/2000
Montana 01/22/2009
Nebraska 03/15/2000
Nevada 03/29/1995
New Hampshire 01/22/2009
New Jersey 03/06/1995
New Mexico 03/08/1995
New York 03/27/1995
North Carolina 10/25/2000
North Dakota 01/22/2009
Ohio 05/11/2000
Oklahoma 01/22/2009
Oregon 04/17/1995
Pennsylvania 02/14/1996
Puerto Rico 01/22/2009
Rhode Island 04/11/1995
South Carolina 03/20/2000
South Dakota 01/23/2009
Tennessee 02/27/1998
Texas 05/10/1995
Utah 01/22/2009
Vermont 03/14/1995
Virgin Islands 03/26/2010
Virginia 01/01/1997
Washington 03/16/2000
West Virginia 01/22/2009
Wisconsin 10/03/1989

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser