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Investment Adviser Firm Summary

STACK FINANCIAL MANAGEMENT INC (CRD# 106785 / SEC# 801-45724)
Alternate Names: STACK FINANCIAL MANAGEMENT INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/15/1994

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
Arizona 02/12/2003
California 02/26/2001
Colorado 09/01/2011
Connecticut 07/12/2011
Florida 01/05/1995
Georgia 06/19/2013
Idaho 07/28/2006
Illinois 02/10/2004
Indiana 03/30/2011
Louisiana 09/01/2011
Maryland 06/19/2013
Massachusetts 01/16/2009
Michigan 08/28/2008
Minnesota 01/16/2009
Mississippi 02/23/2017
Missouri 10/18/2010
Montana 05/04/1994
Nebraska 01/16/2009
Nevada 01/16/2009
New Hampshire 01/01/2001
New Jersey 11/18/2009
New Mexico 10/26/2017
New York 01/30/2004
North Carolina 04/27/2006
Ohio 01/30/2004
Oklahoma 07/12/2011
Oregon 02/12/2003
Pennsylvania 06/02/2005
South Carolina 04/23/2008
Tennessee 04/30/2004
Texas 01/05/1995
Virginia 09/02/2005
Washington 01/30/2004
Wisconsin 03/30/2011

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