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Investment Adviser Firm Summary

NEVILLE, RODIE & SHAW INC (CRD# 104969 / SEC# 801-4148)
Alternate Names: NEVILLE, RODIE & SHAW INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/02/1966

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 04/16/1975
Colorado 12/11/2000
Connecticut 12/01/1997
Delaware 04/02/2015
District of Columbia 01/21/1994
Florida 01/02/1976
Georgia 10/17/1995
Louisiana 01/28/2003
Maine 02/15/2001
Maryland 10/01/1990
Massachusetts 03/25/1994
Montana 01/06/2010
New Hampshire 07/01/1982
New Jersey 01/01/1961
New York 04/25/2003
North Carolina 10/09/2014
Oregon 01/28/2003
Pennsylvania 01/24/1967
South Carolina 01/02/2014
Tennessee 08/12/1994
Texas 01/28/1975
Vermont 01/04/1995
Virginia 07/06/1987
Washington 01/28/2003

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