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Investment Adviser Firm Summary

MORNINGSTAR INVESTMENT MANAGEMENT LLC (CRD# 108031 / SEC# 801-56896)
Alternate Names: IBBOTSON ASSOCIATES, INC. , MORNINGSTAR ASSOCIATES, LLC , MORNINGSTAR INVESTMENT MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/18/1999

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 01/26/2000
Alaska 01/10/2000
Arizona 01/09/2000
Arkansas 01/05/2000
California 01/04/2000
Colorado 01/07/2000
Connecticut 01/04/2000
Delaware 07/28/2003
District of Columbia 12/04/2000
Florida 01/10/2000
Georgia 01/05/2000
Hawaii 01/05/2000
Idaho 01/29/2001
Illinois 09/27/1999
Indiana 03/15/2002
Iowa 01/04/2000
Kansas 01/04/2000
Kentucky 01/05/2000
Louisiana 10/11/2001
Maine 01/07/2000
Maryland 01/18/2000
Massachusetts 01/04/2000
Michigan 01/06/2000
Minnesota 01/06/2000
Mississippi 01/05/2000
Missouri 01/04/2000
Montana 01/06/2000
Nebraska 01/04/2000
Nevada 01/04/2000
New Hampshire 01/04/2000
New Jersey 01/24/2000
New Mexico 01/07/2000
New York 01/07/2000
North Carolina 01/29/2001
North Dakota 01/04/2000
Ohio 01/04/2000
Oklahoma 02/28/2000
Oregon 01/29/2001
Pennsylvania 01/04/2000
Puerto Rico 01/05/2000
Rhode Island 01/01/2000
South Carolina 01/10/2000
South Dakota 01/05/2000
Tennessee 01/05/2000
Texas 01/10/2000
Utah 01/07/2000
Vermont 01/18/2000
Virginia 01/13/2000
Washington 01/06/2000
West Virginia 01/04/2000
Wisconsin 01/28/2000
Wyoming 03/27/2018

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