at


Investment Adviser Firm Summary

THE MILESTONE GROUP, INC. (CRD# 106733 / SEC# 801-51401)
Alternate Names: MILESTONE ASSET MANAGEMENT , MILESTONE CAPITAL MANAGEMENT , MILESTONE CAPITAL PARTNERS , MILESTONE GROUP INC , MILESTONE INVESTMENT MANAGEMENT AND RESEARCH , MILESTONE WEALTH MANAGEMENT , THE MILESTONE GROUP, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/06/1996

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
Arizona 07/11/2016
California 08/12/2005
Colorado 01/01/1999
Florida 01/18/2007
Illinois 01/19/2007
Louisiana 02/15/2013
Michigan 07/11/2016
Nebraska 02/06/1997
New Hampshire 03/08/2012
North Carolina 01/28/2015
Ohio 03/08/2012
Oklahoma 04/26/2018
South Carolina 03/15/2016
Texas 05/30/1996
Washington 08/18/2017
Wyoming 09/07/2017

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