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Investment Adviser Firm Summary

ARIEL INVESTMENTS, LLC (CRD# 108211 / SEC# 801-18767)
Alternate Names: ARIEL CAPITAL MANAGEMENT INC , ARIEL CAPITAL MANAGEMENT, INC. , ARIEL CAPITAL MANAGEMENT, LLC , ARIEL INVESTMENTS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/15/1983

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 08/29/2001
Alaska 08/31/2001
Arizona 08/29/2001
Arkansas 08/29/2001
California 08/29/2001
Colorado 08/29/2001
Connecticut 08/29/2001
Delaware 08/06/2003
District of Columbia 08/30/2001
Florida 09/26/2001
Georgia 08/29/2001
Hawaii 08/29/2001
Idaho 08/29/2001
Illinois 07/31/1984
Indiana 08/29/2001
Iowa 09/04/2001
Kansas 08/29/2001
Kentucky 08/29/2001
Louisiana 08/29/2001
Maine 08/29/2001
Maryland 08/31/2001
Massachusetts 08/29/2001
Michigan 08/29/2001
Minnesota 09/19/2001
Mississippi 08/29/2001
Missouri 08/29/2001
Montana 08/29/2001
Nebraska 08/29/2001
Nevada 08/29/2001
New Hampshire 08/29/2001
New Jersey 10/18/2001
New Mexico 09/14/2001
New York 10/15/2001
North Carolina 08/29/2001
North Dakota 09/19/2001
Ohio 08/29/2001
Oklahoma 10/25/2001
Oregon 09/04/2001
Pennsylvania 08/29/2001
Puerto Rico 08/29/2001
Rhode Island 08/29/2001
South Carolina 08/29/2001
South Dakota 09/05/2001
Tennessee 10/25/2001
Texas 06/23/1993
Utah 08/29/2001
Vermont 08/29/2001
Virginia 08/29/2001
Washington 08/29/2001
West Virginia 09/04/2001
Wisconsin 08/29/2001
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