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Investment Adviser Firm Summary

BRECKINRIDGE CAPITAL ADVISORS INC (CRD# 107143 / SEC# 801-43833)
Alternate Names: BRECKINRIDGE CAPITAL ADVISORS INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/29/1993

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 08/18/1998
Alaska 03/09/2015
Arizona 03/24/2003
Arkansas 01/11/2007
California 03/04/1999
Colorado 03/24/2003
Connecticut 03/24/2003
Delaware 03/24/2003
District of Columbia 03/24/2003
Florida 05/22/2000
Georgia 05/05/2000
Hawaii 02/03/2011
Idaho 03/05/2013
Illinois 02/14/2001
Indiana 02/14/2001
Iowa 02/04/2009
Kansas 02/03/2009
Kentucky 02/03/2011
Louisiana 03/24/2003
Maine 02/03/2011
Maryland 02/14/2001
Massachusetts 04/14/1994
Michigan 03/24/2003
Minnesota 04/01/2003
Mississippi 03/31/2004
Missouri 03/24/2003
Montana 02/03/2011
Nebraska 03/24/2005
Nevada 03/24/2003
New Hampshire 03/24/2003
New Jersey 04/14/2003
New Mexico 01/09/2007
New York 03/24/2003
North Carolina 03/24/2003
North Dakota 03/27/2017
Ohio 02/14/2001
Oklahoma 02/03/2011
Oregon 01/09/2007
Pennsylvania 02/14/2001
Puerto Rico 03/27/2017
Rhode Island 02/03/2009
South Carolina 03/31/2004
South Dakota 02/04/2011
Tennessee 02/03/1999
Texas 02/28/2002
Utah 03/28/2003
Vermont 03/24/2003
Virgin Islands 03/27/2017
Virginia 02/18/1999
Washington 03/24/2003
West Virginia 03/31/2006
Wisconsin 03/31/2004
Wyoming 03/16/2018

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