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Investment Adviser Firm Summary

KARPUS MANAGEMENT INC (CRD# 110275 / SEC# 801-29607)
Alternate Names: INVESTMENT ADVISOR , KARPUS INVESTMENT MANAGEMENT , KARPUS MANAGEMENT INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/05/1987

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 09/19/2005
California 09/22/2003
Colorado 09/19/2005
Connecticut 09/13/2002
Delaware 09/18/2006
District of Columbia 09/08/2008
Florida 08/12/1993
Georgia 09/19/2005
Hawaii 09/30/2014
Idaho 09/19/2016
Illinois 02/20/2001
Indiana 09/19/2016
Louisiana 09/24/2007
Maine 09/13/2006
Maryland 09/13/2006
Massachusetts 04/14/1994
Michigan 09/13/2006
Minnesota 09/27/2012
Missouri 09/30/2010
New Hampshire 09/19/2005
New Jersey 10/14/2004
New York 04/02/1987
North Carolina 09/19/2005
Ohio 02/22/2001
Oklahoma 09/19/2016
Oregon 09/15/2004
Pennsylvania 09/19/2005
Rhode Island 09/19/2016
South Carolina 09/19/2005
South Dakota 10/04/2010
Tennessee 09/20/2005
Texas 02/20/2001
Utah 08/22/2011
Virginia 09/15/2004
Washington 08/22/2011
West Virginia 09/13/2006
Wisconsin 09/13/2002

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