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Investment Adviser Firm Summary

BAILARD, INC. (CRD# 110550 / SEC# 801-8562)
Alternate Names: BAILARD BIEHL & KAISER INC , BAILARD INSTITUTIONAL , BAILARD WEALTH MANAGEMENT , BAILARD, BIEHL & KAISER, INC. , BAILARD, INC. , SEE SCHEDULE D SECT. 1B FOR OTHER NAMES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/03/1972

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 06/29/2016
Alaska 06/29/2017
Arizona 04/19/2000
Arkansas 06/29/2017
California 04/24/1972
Colorado 06/29/2016
Connecticut 09/15/1997
Delaware 06/29/2016
District of Columbia 03/03/1972
Florida 08/14/2001
Georgia 06/29/2016
Hawaii 07/23/1986
Idaho 06/29/1998
Illinois 07/18/1984
Indiana 06/29/2016
Iowa 06/29/2017
Kansas 06/29/2016
Kentucky 06/29/2016
Louisiana 06/29/2016
Maine 06/29/2016
Maryland 10/23/2000
Massachusetts 07/23/2001
Michigan 07/22/1998
Minnesota 06/26/2003
Mississippi 06/29/2017
Missouri 06/29/2016
Montana 06/29/2016
Nebraska 06/29/2017
Nevada 12/14/1990
New Hampshire 07/29/2008
New Jersey 07/14/2016
New Mexico 06/29/2016
New York 06/01/2006
North Carolina 06/29/2016
North Dakota 06/29/2017
Ohio 06/29/2016
Oklahoma 06/29/2017
Oregon 07/10/1984
Pennsylvania 04/24/2000
Puerto Rico 06/29/2017
Rhode Island 06/29/2016
South Carolina 06/29/2016
South Dakota 06/29/2016
Tennessee 06/29/2016
Texas 08/10/1992
Utah 06/29/2016
Vermont 11/14/1994
Virgin Islands 06/29/2017
Virginia 10/27/2000
Washington 04/18/1994
West Virginia 06/29/2017
Wisconsin 05/01/2000
Wyoming 06/29/2018

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