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Investment Adviser Firm Summary

THOMPSON SIEGEL & WALMSLEY LLC (CRD# 105726 / SEC# 801-6273)
Alternate Names: THOMPSON SIEGEL & WALMSLEY INC , THOMPSON SIEGEL & WALMSLEY LLC , THOMPSON, SIEGEL & WALMSLEY , WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION , WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/17/1970

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 04/17/1991
Alaska 10/04/1991
Arizona 07/27/1994
Arkansas 10/06/1992
California 08/01/1989
Connecticut 12/11/1997
Delaware 03/31/2003
District of Columbia 01/07/1994
Florida 11/05/1986
Georgia 03/07/1990
Hawaii 04/04/1991
Idaho 03/16/1993
Illinois 04/25/1990
Indiana 02/08/2001
Iowa 01/01/1999
Kansas 06/20/1990
Kentucky 03/20/1990
Louisiana 10/17/2001
Maine 01/22/1993
Maryland 10/08/1990
Massachusetts 04/14/1994
Michigan 11/25/1997
Minnesota 06/29/1989
Mississippi 10/03/1997
Missouri 07/19/1988
Montana 01/01/1998
Nebraska 03/11/1992
Nevada 11/30/1990
New Hampshire 09/01/1989
New Jersey 10/07/1988
New Mexico 08/09/1990
New York 06/05/1988
North Carolina 01/23/2001
North Dakota 07/22/1992
Ohio 04/29/1999
Oklahoma 01/01/1998
Oregon 11/13/1989
Pennsylvania 11/17/1989
Puerto Rico 06/27/1991
Rhode Island 01/01/1993
South Carolina 02/16/1990
South Dakota 02/05/1993
Tennessee 09/07/1989
Texas 06/19/1987
Utah 02/12/1993
Vermont 01/27/1995
Virginia 06/24/1987
Washington 12/12/1989
West Virginia 09/08/1989
Wisconsin 03/13/1990

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