at


Investment Adviser Firm Summary

THORNBURG INVESTMENT MANAGEMENT INC (CRD# 106357 / SEC# 801-17853)
Alternate Names: THORNBURG INVESTMENT MANAGEMENT INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/15/1982

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 05/10/2000
Alaska 07/25/2002
Arizona 05/22/2003
Arkansas 04/02/2004
California 05/03/2000
Colorado 02/07/2001
Connecticut 02/07/2001
Delaware 10/12/2004
District of Columbia 03/31/2004
Florida 05/01/2002
Georgia 04/30/2002
Hawaii 01/27/2005
Idaho 03/30/2006
Illinois 02/07/2001
Indiana 04/30/2002
Iowa 06/09/2003
Kansas 03/31/2004
Kentucky 01/05/2004
Louisiana 06/16/2003
Maine 03/10/2004
Maryland 01/05/2004
Massachusetts 02/07/2001
Michigan 04/30/2002
Minnesota 05/27/2003
Mississippi 01/27/2005
Missouri 06/16/2003
Montana 01/27/2005
Nebraska 03/30/2006
Nevada 03/31/2004
New Hampshire 06/09/2003
New Jersey 07/25/2002
New Mexico 08/06/1998
New York 01/05/2004
North Carolina 07/25/2002
North Dakota 03/30/2006
Ohio 04/30/2002
Oklahoma 07/25/2002
Oregon 01/27/2005
Pennsylvania 04/30/2002
Puerto Rico 08/14/2003
Rhode Island 03/22/2005
South Carolina 06/16/2003
South Dakota 03/31/2006
Tennessee 05/01/2002
Texas 04/21/2000
Utah 07/26/2002
Vermont 03/30/2006
Virgin Islands 08/09/2010
Virginia 05/22/2003
Washington 07/25/2002
West Virginia 03/10/2004
Wisconsin 06/16/2003
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