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Investment Adviser Firm Summary

DEAN INVESTMENT ASSOCIATES, LLC (CRD# 104635 / SEC# 801-9895)
Alternate Names: DEAN C H & ASSOCIATES, INC. , DEAN INVESTMENT ASSOCIATES , DEAN INVESTMENT ASSOCIATES, LLC , DEAN INVESTMENTS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/01/1975

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
California 01/04/1988
Florida 03/10/1989
Illinois 06/29/1988
Indiana 02/13/2001
Kansas 08/25/1987
Kentucky 12/13/2000
Louisiana 09/28/2001
Michigan 03/27/1998
Minnesota 12/02/1987
Missouri 01/12/2017
Nebraska 04/10/2000
New Hampshire 01/09/1991
North Carolina 02/13/2001
Ohio 10/18/1999
Pennsylvania 01/10/1990
Tennessee 02/08/1988
Texas 01/28/1987

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