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Investment Adviser Firm Summary

SAROFIM FAYEZ & CO (CRD# 106584 / SEC# 801-1725)
Alternate Names: FAYEZ SAROFIM & CO. , SAROFIM FAYEZ & CO

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/16/1958

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 12/13/2001
Alaska 12/14/2001
Arizona 12/13/2001
Arkansas 12/17/2001
California 11/26/1969
Colorado 12/13/2001
Connecticut 01/25/1998
Delaware 03/31/2003
District of Columbia 12/14/2001
Florida 12/28/1982
Georgia 09/21/1994
Hawaii 12/13/2001
Idaho 12/13/2001
Illinois 12/23/1970
Indiana 12/13/2001
Iowa 12/17/2001
Kansas 12/13/2001
Kentucky 12/13/2001
Louisiana 10/05/2001
Maine 12/13/2001
Maryland 12/13/2001
Massachusetts 12/13/2001
Michigan 12/13/2001
Minnesota 01/10/2002
Mississippi 12/13/2001
Missouri 12/13/2001
Montana 12/13/2001
Nebraska 12/13/2001
Nevada 12/13/2001
New Hampshire 09/03/1991
New Jersey 01/25/2002
New Mexico 10/14/1994
New York 01/09/1974
North Carolina 12/13/2001
North Dakota 12/13/2001
Ohio 05/26/1999
Oklahoma 01/01/1998
Oregon 01/22/2001
Pennsylvania 06/14/1988
Puerto Rico 12/13/2001
Rhode Island 12/13/2001
South Carolina 12/13/2001
South Dakota 12/17/2001
Tennessee 12/17/2001
Texas 06/18/1958
Utah 12/17/2001
Vermont 11/18/1994
Virgin Islands 03/31/2011
Virginia 04/17/1990
Washington 12/13/2001
West Virginia 12/17/2001
Wisconsin 10/17/1995

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