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Investment Adviser Firm Summary

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC (CRD# 105820 / SEC# 801-15834)
Alternate Names: SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/31/1980

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 01/06/1999
Alaska 02/28/2001
Arizona 10/02/1998
Arkansas 01/08/1999
California 10/06/1998
Colorado 04/13/1999
Connecticut 12/08/1997
Delaware 07/30/2003
District of Columbia 02/28/2001
Florida 10/20/1998
Georgia 02/28/2001
Hawaii 01/01/1999
Idaho 01/01/1999
Illinois 10/02/1998
Indiana 02/28/2001
Iowa 05/06/1999
Kansas 02/28/2001
Kentucky 12/22/1998
Louisiana 02/28/2001
Maine 10/02/1998
Maryland 02/28/2001
Massachusetts 02/28/2001
Michigan 02/28/2001
Minnesota 02/28/2001
Mississippi 12/04/1998
Missouri 10/02/1998
Montana 01/01/1999
Nebraska 01/01/1999
Nevada 10/02/1998
New Hampshire 02/28/2001
New Jersey 02/28/2001
New Mexico 02/28/2001
New York 02/28/2001
North Carolina 02/28/2001
North Dakota 02/28/2001
Ohio 02/28/2001
Oklahoma 01/01/1998
Oregon 02/28/2001
Pennsylvania 02/28/2001
Puerto Rico 01/20/1999
Rhode Island 02/28/2001
South Carolina 02/28/2001
South Dakota 12/28/1998
Tennessee 01/01/1999
Texas 01/01/2000
Utah 01/01/1999
Vermont 01/23/1995
Virginia 01/18/1991
Washington 10/13/1994
West Virginia 10/02/1998
Wisconsin 01/04/1999

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