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Investment Adviser Firm Summary

HOMRICH & BERG INC (CRD# 108189 / SEC# 801-35646)
Alternate Names: HOMRICH & BERG INC , HOMRICH BERG

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/22/1989

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 05/01/2008
Arizona 06/18/2013
Arkansas 04/04/2006
California 05/07/2004
Colorado 04/02/2007
Connecticut 10/01/2014
District of Columbia 10/01/2014
Florida 10/27/1998
Georgia 01/31/2001
Illinois 04/12/2007
Indiana 04/21/2015
Kentucky 05/08/2008
Louisiana 02/01/2018
Maryland 08/15/2013
Massachusetts 03/31/2006
Michigan 04/21/2015
Mississippi 03/26/2010
Nebraska 11/06/2014
New Jersey 04/12/2007
New York 05/07/2004
North Carolina 05/07/2004
Ohio 10/01/2014
Pennsylvania 05/07/2004
South Carolina 04/01/2005
Tennessee 04/03/2007
Texas 09/13/1995
Virginia 05/07/2004
Washington 09/14/2009

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