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Investment Adviser Firm Summary

AFAM CAPITAL, INC. (CRD# 108517 / SEC# 801-30528)
Alternate Names: AFAM CAPITAL, INC. , AL FRANK ASSET MANAGEMENT , AL FRANK ASSET MANAGEMENT INC , INNEALTA CAPITAL

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/31/1987
New York Cancelled 07/09/2002

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 02/05/2014
Arizona 02/12/2004
California 09/30/1987
Colorado 07/03/2002
Connecticut 06/14/2004
Delaware 02/05/2014
District of Columbia 02/28/2007
Florida 07/07/1988
Georgia 04/23/2003
Hawaii 06/14/2004
Illinois 09/08/1987
Indiana 08/31/2010
Iowa 09/19/2011
Louisiana 03/07/2005
Maine 03/02/2005
Maryland 06/14/2004
Massachusetts 03/22/2005
Michigan 07/23/2004
Minnesota 06/16/1993
Missouri 07/23/2004
Nevada 07/03/2002
New Hampshire 07/04/2002
New Jersey 07/03/2002
New Mexico 10/27/1992
New York 07/16/2002
North Carolina 02/28/2007
Ohio 07/03/2002
Oklahoma 02/07/2008
Oregon 07/03/2002
Pennsylvania 07/03/2002
South Carolina 02/12/2004
South Dakota 03/13/2006
Texas 04/25/1995
Utah 03/17/2010
Vermont 03/10/2006
Virginia 06/24/1996
Washington 07/03/2002
Wisconsin 07/23/2004

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