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Investment Adviser Firm Summary

SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED (CRD# 106201 / SEC# 801-53815)
Alternate Names: SECURITY CAPITAL GLOBAL CAPITAL MANAGEMENT GROUP INC , SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/10/1997

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 03/04/2005
Alaska 03/11/2005
Arizona 07/31/2000
Arkansas 03/08/2005
California 08/01/2000
Colorado 07/16/2001
Connecticut 03/04/2005
Delaware 03/24/2005
District of Columbia 03/04/2005
Florida 10/02/2000
Georgia 03/04/2005
Hawaii 03/04/2005
Idaho 03/04/2005
Illinois 09/08/1998
Indiana 03/14/2002
Iowa 03/04/2005
Kansas 09/13/2002
Kentucky 03/04/2005
Louisiana 03/04/2005
Maine 03/04/2005
Maryland 08/03/2000
Massachusetts 05/01/2001
Michigan 06/20/2002
Minnesota 03/30/2005
Mississippi 03/04/2005
Missouri 01/04/2001
Montana 03/04/2005
Nebraska 03/04/2005
Nevada 03/04/2005
New Hampshire 03/04/2005
New Jersey 05/07/2002
New Mexico 03/04/2005
New York 01/02/2003
North Carolina 01/30/2001
North Dakota 03/04/2005
Ohio 09/22/2000
Oklahoma 03/04/2005
Oregon 08/29/2003
Pennsylvania 05/18/2001
Puerto Rico 03/04/2005
Rhode Island 03/04/2005
South Carolina 03/04/2005
South Dakota 03/08/2005
Tennessee 10/25/2001
Texas 07/24/2001
Utah 03/04/2005
Vermont 03/04/2005
Virgin Islands 08/31/2011
Virginia 03/04/2005
Washington 08/10/2000
West Virginia 03/04/2005
Wisconsin 09/24/2004
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