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Investment Adviser Firm Summary

IRON FINANCIAL LLC (CRD# 106682 / SEC# 801-46417)
Alternate Names: IRON ASSET MANAGEMENT , IRON FINANCIAL , IRON FINANCIAL LLC , IRON FINANCIAL MANAGEMENT INC , IRON HOLDINGS LLC , IRON INVESTMENTS , IRON MORTGAGE DEBT GROUP LLC (RELYING ADVISOR) , IRON RETIREMENT , THE IRON FINANCIAL COMPANIES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/18/1994

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 01/25/2006
Alaska 10/14/2010
Arizona 03/25/2003
Arkansas 02/29/2008
California 08/23/2002
Colorado 03/25/2003
Connecticut 03/16/2005
Delaware 03/25/2003
District of Columbia 10/26/2005
Florida 03/26/2003
Georgia 08/23/2004
Hawaii 09/03/2004
Idaho 03/21/2013
Illinois 10/27/1997
Indiana 03/20/2001
Iowa 04/12/2005
Kansas 03/25/2003
Kentucky 03/25/2003
Louisiana 02/01/2005
Maine 02/19/2010
Maryland 10/26/2005
Massachusetts 03/25/2003
Michigan 03/25/2003
Minnesota 03/20/2001
Mississippi 05/01/2008
Missouri 02/18/2005
Montana 12/18/2006
Nebraska 10/26/2005
Nevada 03/25/2003
New Hampshire 01/25/2006
New Jersey 08/30/2002
New Mexico 03/25/2003
New York 03/25/2003
North Carolina 06/16/2004
North Dakota 04/22/2009
Ohio 03/25/2003
Oklahoma 10/26/2005
Oregon 10/26/2005
Pennsylvania 08/30/2002
Puerto Rico 08/09/2013
Rhode Island 01/12/2005
South Carolina 09/07/2004
South Dakota 01/08/2015
Tennessee 01/13/2005
Texas 06/30/2004
Utah 02/01/2005
Vermont 10/21/2010
Virginia 10/08/2004
Washington 08/27/2004
West Virginia 06/16/2004
Wisconsin 10/05/2000
Wyoming 10/16/2018

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