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Investment Adviser Firm Summary

ROTHSCHILD ASSET MANAGEMENT INC (CRD# 110349 / SEC# 801-5875)
Alternate Names: NONE , ROTHSCHILD ASSET MANAGEMENT INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/04/1970

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 09/23/2002
Alaska 09/23/2002
Arizona 09/19/2002
Arkansas 09/19/2002
California 08/30/2002
Colorado 09/23/2002
Connecticut 09/23/2002
Delaware 05/21/2003
District of Columbia 09/23/2002
Florida 09/20/2002
Georgia 08/30/2002
Hawaii 09/23/2002
Idaho 09/23/2002
Illinois 10/21/2002
Indiana 02/14/2002
Iowa 09/23/2002
Kansas 09/23/2002
Kentucky 09/23/2002
Louisiana 08/30/2002
Maine 09/23/2002
Maryland 10/05/1990
Massachusetts 08/30/2002
Michigan 08/30/2002
Minnesota 09/23/2002
Mississippi 09/23/2002
Missouri 08/30/2002
Montana 09/23/2002
Nebraska 09/23/2002
Nevada 09/23/2002
New Hampshire 09/23/2002
New Jersey 09/19/2002
New Mexico 09/23/2002
New York 03/12/1987
North Carolina 09/23/2002
North Dakota 09/23/2002
Ohio 09/23/2002
Oklahoma 09/23/2002
Oregon 09/23/2002
Pennsylvania 09/19/2002
Puerto Rico 09/23/2002
Rhode Island 09/23/2002
South Carolina 09/23/2002
South Dakota 09/23/2002
Tennessee 09/19/2002
Texas 08/30/2002
Utah 09/23/2002
Vermont 09/23/2002
Virgin Islands 06/29/2011
Virginia 09/02/1987
Washington 09/23/2002
West Virginia 09/23/2002
Wisconsin 09/23/2002
Wyoming 03/29/2018

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