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Investment Adviser Firm Summary

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD (CRD# 109811 / SEC# 801-33001)
Alternate Names: FIM GROUP , FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD , UTOPIA ASSET MANAGEMENT , UTOPIA RETIREMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/06/1988

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 01/21/2014
Arizona 08/17/1998
Arkansas 03/31/2017
California 08/28/1998
Colorado 06/19/2007
Florida 09/04/1998
Hawaii 03/12/1997
Illinois 06/19/1998
Indiana 04/12/2016
Iowa 01/30/2012
Kansas 03/01/2005
Maryland 06/19/2007
Massachusetts 06/08/2004
Michigan 10/07/2000
Minnesota 04/01/1992
Nevada 04/12/2016
New Jersey 03/28/2005
New Mexico 03/31/2017
New York 03/01/2005
Ohio 06/19/2007
Oregon 03/31/2017
Pennsylvania 02/23/2002
Texas 09/18/1995
Virginia 04/23/1990
Wisconsin 07/09/2001

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