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Investment Adviser Firm Summary

CAPITAL ADVISORS, INC. (CRD# 104643 / SEC# 801-14050)
Alternate Names: CAPITAL ADVISORS INC , CAPITAL ADVISORS, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/18/1978

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 08/18/2010
Arizona 09/12/2006
Arkansas 12/14/1994
California 08/14/2007
Colorado 05/15/2008
Connecticut 07/19/2017
District of Columbia 09/11/2017
Florida 10/25/2006
Georgia 11/03/2015
Illinois 05/15/2013
Indiana 08/25/2015
Kansas 12/01/1994
Kentucky 07/19/2017
Louisiana 11/01/2006
Michigan 03/17/2015
Minnesota 01/04/2016
Mississippi 06/18/2015
Missouri 01/04/2010
Montana 09/11/2017
Nebraska 09/11/2017
Nevada 03/08/2016
New Hampshire 05/18/2017
New Mexico 11/10/2015
New York 03/29/2005
North Carolina 06/18/2015
North Dakota 07/19/2017
Ohio 01/04/2016
Oklahoma 01/01/1998
Oregon 01/04/2016
Pennsylvania 08/25/2015
South Carolina 08/25/2015
Tennessee 07/06/2015
Texas 10/28/1991
Virginia 09/12/2006
Washington 09/04/2013
Wisconsin 09/11/2017

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