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Investment Adviser Firm Summary

FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD# 108559 / SEC# 801-56293)
Alternate Names: FIRST REPUBLIC INVESTMENT MANAGEMENT , FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. , FIRST REPUBLIC PRIVATE WEALTH MANAGEMENT , LUMINOUS CAPITAL A DIVISION OF FIRST REPUBLIC INVESTMENT MANAGEMENT , TRAINER WORTHAM & CO INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/23/1999

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 04/15/1991
Alaska 01/08/2001
Arizona 05/19/1997
Arkansas 01/02/2001
California 04/12/1999
Colorado 01/08/2001
Connecticut 12/14/1998
Delaware 10/27/1993
District of Columbia 03/02/2001
Florida 01/02/1991
Georgia 01/02/1995
Hawaii 10/28/2004
Idaho 03/22/2002
Illinois 04/19/1999
Indiana 09/12/1996
Iowa 04/01/2002
Kansas 03/22/2002
Kentucky 03/22/2002
Louisiana 10/18/2001
Maine 09/12/1996
Maryland 11/13/1990
Massachusetts 04/14/1994
Michigan 04/03/1998
Minnesota 11/20/1990
Mississippi 03/22/2002
Missouri 03/22/2002
Montana 03/31/2005
Nebraska 03/26/2013
Nevada 12/12/1990
New Hampshire 02/07/1991
New Jersey 01/19/1994
New Mexico 03/22/2002
New York 10/31/1990
North Carolina 03/13/2001
North Dakota 03/26/2013
Ohio 01/30/2001
Oklahoma 06/11/2002
Oregon 07/03/1991
Pennsylvania 12/19/1990
Rhode Island 01/01/1993
South Carolina 03/22/2002
South Dakota 03/27/2002
Tennessee 11/30/1990
Texas 03/23/1999
Utah 03/22/2002
Vermont 01/30/1995
Virginia 10/04/1990
Washington 03/22/2002
West Virginia 01/11/2001
Wisconsin 05/07/1993
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