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Investment Adviser Firm Summary

PZENA INVESTMENT MANAGEMENT LLC (CRD# 106847 / SEC# 801-50838)
Alternate Names: PZENA INVESTMENT MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/15/1995

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
California 02/23/1996
Connecticut 03/25/1998
Delaware 06/03/2003
District of Columbia 03/31/2009
Florida 03/30/2017
Illinois 01/31/1996
Louisiana 03/30/2017
Massachusetts 01/18/1996
Michigan 04/01/2013
Nebraska 03/31/2009
New Hampshire 03/28/2012
New Jersey 01/26/1996
New York 12/27/1995
Pennsylvania 05/15/1996
Texas 01/01/1998
Washington 04/01/2013

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