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Investment Adviser Firm Summary

GRIMES & COMPANY, INC. (CRD# 109420 / SEC# 801-57193)
Alternate Names: GRIMES & CO INC , GRIMES & COMPANY, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/28/2000

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 06/15/2012
Alaska 03/31/2014
Arizona 02/13/2007
Arkansas 06/15/2012
California 08/02/2000
Colorado 11/01/2011
Connecticut 07/26/2000
Delaware 03/30/2011
District of Columbia 03/30/2011
Florida 08/08/2000
Georgia 02/17/2010
Hawaii 03/28/2018
Idaho 03/31/2014
Illinois 03/30/2011
Indiana 03/30/2011
Iowa 06/15/2012
Kansas 06/15/2012
Kentucky 03/30/2011
Louisiana 06/15/2012
Maine 09/27/2000
Maryland 08/01/2006
Massachusetts 04/23/1997
Michigan 03/30/2011
Minnesota 03/30/2011
Mississippi 06/15/2012
Missouri 06/15/2012
Montana 04/19/2013
Nebraska 06/15/2012
Nevada 07/20/2012
New Hampshire 07/26/2000
New Jersey 07/02/2002
New Mexico 06/15/2012
New York 01/07/2003
North Carolina 04/26/2002
North Dakota 06/15/2012
Ohio 03/30/2011
Oklahoma 06/15/2012
Oregon 03/31/2014
Pennsylvania 01/03/2006
Puerto Rico 01/04/2013
Rhode Island 07/27/2000
South Carolina 06/15/2012
South Dakota 06/15/2012
Tennessee 06/15/2012
Texas 07/28/2000
Utah 03/31/2014
Vermont 04/26/2002
Virgin Islands 06/03/2016
Virginia 01/03/2006
Washington 12/11/2012
West Virginia 03/30/2011
Wisconsin 03/30/2011
Wyoming 11/02/2017

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