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Investment Adviser Firm Summary

BTS ASSET MANAGEMENT INC (CRD# 105215 / SEC# 801-14895)
Alternate Names: BTS ASSET MANAGEMENT INC , BTS ASSET MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/25/1979

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 12/29/1992
Alaska 02/01/1985
Arizona 08/16/1994
Arkansas 10/22/1985
California 03/14/1984
Colorado 10/07/2002
Connecticut 08/25/1997
Delaware 05/14/1984
Florida 05/09/1983
Georgia 01/03/1993
Hawaii 07/20/1999
Idaho 05/30/1986
Illinois 04/16/1985
Indiana 02/13/2001
Iowa 01/01/1999
Kansas 01/27/1983
Kentucky 10/12/1983
Louisiana 05/10/2012
Maine 01/13/1994
Maryland 10/23/1991
Massachusetts 04/14/1994
Michigan 03/27/2002
Minnesota 05/18/1981
Mississippi 01/31/2001
Missouri 02/25/1983
Montana 01/01/1998
Nebraska 05/26/1992
Nevada 12/12/1990
New Hampshire 02/01/1984
New Jersey 01/01/1983
New Mexico 05/19/1993
New York 04/06/1981
North Carolina 01/31/2001
North Dakota 03/27/2003
Ohio 05/26/1999
Oklahoma 01/01/1998
Oregon 01/31/2001
Pennsylvania 05/23/1988
Puerto Rico 03/27/2013
Rhode Island 01/01/1998
South Carolina 05/05/1983
South Dakota 04/06/2004
Tennessee 02/22/1984
Texas 02/28/1983
Utah 12/18/1991
Vermont 11/07/1994
Virginia 07/07/1987
Washington 05/01/1984
West Virginia 10/07/2002
Wisconsin 08/31/1982

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