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Investment Adviser Firm Summary

GW & WADE, LLC (CRD# 105394 / SEC# 801-27292)
Alternate Names: GW & WADE INC , GW & WADE, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/01/1986

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 03/31/2015
Arizona 11/01/2004
California 01/01/1996
Colorado 04/01/2013
Connecticut 07/21/1997
Delaware 03/28/2014
District of Columbia 04/01/2013
Florida 08/14/1996
Georgia 11/01/2004
Hawaii 04/01/2013
Illinois 01/22/1996
Iowa 04/01/2013
Kentucky 04/01/2013
Louisiana 03/14/2005
Maine 02/16/1996
Maryland 11/01/2004
Massachusetts 04/14/1994
Michigan 03/14/2005
Minnesota 04/01/2013
Missouri 03/28/2014
Nevada 03/30/2016
New Hampshire 05/06/1991
New Jersey 06/08/2010
New Mexico 04/01/2013
New York 11/01/2004
North Carolina 03/14/2005
Ohio 05/06/2010
Oklahoma 04/01/2013
Oregon 04/01/2013
Pennsylvania 11/01/2004
Rhode Island 01/30/1996
South Carolina 05/06/2010
Tennessee 04/01/2013
Texas 09/24/1991
Utah 04/01/2013
Vermont 11/01/2004
Virginia 11/13/1995
Washington 05/06/2010
West Virginia 04/01/2013
Wisconsin 03/29/2018
Wyoming 03/29/2018

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