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Investment Adviser Firm Summary

COMPAK ASSET MANAGEMENT (CRD# 109930 / SEC# 801-58081)
Alternate Names: COMPAK ASSET MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/06/2000

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
Arizona 03/15/2001
California 03/15/2001
Colorado 08/21/2002
Florida 03/15/2001
Hawaii 03/03/2015
Idaho 09/20/2007
Illinois 04/18/2006
Iowa 07/25/2006
Maryland 03/15/2001
Michigan 07/02/2007
Minnesota 08/07/2006
Missouri 10/05/2004
Nevada 03/28/2003
New York 03/15/2001
North Carolina 10/30/2006
Oregon 03/15/2001
Tennessee 10/31/2006
Texas 10/05/2004
Virginia 03/15/2001
Washington 03/15/2001
Wisconsin 07/02/2007

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