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Investment Adviser Firm Summary

GREAT-WEST CAPITAL MANAGEMENT, LLC (CRD# 107272 / SEC# 801-52309)
Alternate Names: GREAT-WEST CAPITAL MANAGEMENT, LLC , GW CAPITAL MANAGEMENT LLC , MAXIM CAPITAL MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/28/1996

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
Alabama 03/30/2018
Alaska 03/30/2018
Arizona 03/30/2018
Arkansas 03/30/2018
California 03/24/2015
Colorado 01/01/1999
Connecticut 03/30/2018
Delaware 03/30/2018
District of Columbia 03/30/2018
Florida 03/30/2016
Georgia 03/30/2016
Hawaii 03/30/2018
Idaho 03/30/2018
Illinois 04/06/2018
Indiana 03/31/2017
Iowa 03/30/2018
Kansas 03/24/2015
Kentucky 03/30/2018
Louisiana 03/30/2018
Maine 03/30/2018
Maryland 03/30/2018
Massachusetts 03/31/2017
Michigan 03/30/2016
Minnesota 03/30/2018
Mississippi 03/30/2018
Missouri 03/30/2018
Montana 03/30/2018
Nebraska 03/30/2018
Nevada 03/30/2018
New Hampshire 03/30/2018
New Jersey 03/30/2018
New Mexico 03/30/2018
New York 03/31/2017
North Carolina 03/30/2016
North Dakota 03/30/2018
Ohio 03/30/2016
Oklahoma 03/30/2016
Oregon 03/24/2015
Pennsylvania 03/29/2012
Rhode Island 03/30/2018
South Carolina 03/24/2015
South Dakota 03/30/2018
Tennessee 03/24/2015
Texas 03/30/2016
Utah 03/30/2018
Vermont 03/30/2018
Virginia 03/29/2012
Washington 03/30/2018
West Virginia 03/30/2018
Wisconsin 03/30/2018
Wyoming 03/30/2018

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