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Investment Adviser Firm Summary

COLDSTREAM CAPITAL MANAGEMENT INC (CRD# 108805 / SEC# 801-39379)
Alternate Names: COLDSTREAM , COLDSTREAM CAPITAL MANAGEMENT INC , COLDSTREAM WEALTH MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/23/1991

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
Alaska 11/29/2013
Arizona 10/13/2005
California 02/27/2001
Colorado 10/13/2005
Connecticut 11/12/2015
Florida 03/31/2016
Hawaii 03/29/2017
Idaho 03/31/2016
Illinois 04/01/2016
Massachusetts 12/22/2010
Minnesota 03/29/2017
Nevada 03/31/2016
New Mexico 03/31/2016
New York 12/22/2010
North Carolina 01/14/2015
Ohio 03/31/2016
Oregon 09/10/1991
Pennsylvania 03/29/2017
Texas 04/01/2013
Utah 12/12/2014
Virginia 03/31/2016
Washington 06/12/1997

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