at


Investment Adviser Firm Summary

DUFF & PHELPS INVESTMENT MANAGEMENT CO. (CRD# 107296 / SEC# 801-14813)
Alternate Names: DUFF & PHELPS INVESTMENT MANAGEMENT CO.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/02/1979

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 09/30/2016
Alaska 09/30/2016
Arizona 09/30/2016
Arkansas 09/30/2016
California 05/27/2011
Colorado 09/30/2016
Connecticut 07/31/1997
Delaware 09/30/2016
District of Columbia 09/30/2016
Florida 03/26/2004
Georgia 09/30/2016
Hawaii 09/30/2016
Idaho 09/30/2016
Illinois 10/17/1983
Indiana 09/30/2016
Iowa 09/30/2016
Kansas 09/30/2016
Kentucky 09/30/2016
Louisiana 02/01/2001
Maine 09/30/2016
Maryland 09/30/2016
Massachusetts 09/30/2016
Michigan 09/30/2016
Minnesota 09/30/2016
Mississippi 09/30/2016
Missouri 03/18/2010
Montana 09/30/2016
Nebraska 09/30/2016
Nevada 09/30/2016
New Hampshire 09/30/2016
New Jersey 04/07/2016
New Mexico 09/30/2016
New York 03/24/2016
North Carolina 02/01/2001
North Dakota 09/30/2016
Ohio 02/01/2001
Oklahoma 09/30/2016
Oregon 09/30/2016
Pennsylvania 10/06/1992
Puerto Rico 09/30/2016
Rhode Island 09/30/2016
South Carolina 09/30/2016
South Dakota 09/30/2016
Tennessee 09/30/2016
Texas 08/29/1983
Utah 09/30/2016
Vermont 09/30/2016
Virgin Islands 09/30/2016
Virginia 09/30/2016
Washington 09/30/2016
West Virginia 09/30/2016
Wisconsin 09/30/2016
Wyoming 03/28/2018

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