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Investment Adviser Firm Summary

BARON CAPITAL MANAGEMENT, INC. (CRD# 110791 / SEC# 801-18656)
Alternate Names: BARON CAPITAL MANAGEMENT INC , BARON CAPITAL MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/15/1983

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 12/12/2013
Alaska 12/12/2013
Arizona 12/12/2013
Arkansas 12/12/2013
California 05/31/2011
Colorado 12/12/2013
Connecticut 12/12/2013
Delaware 12/12/2013
District of Columbia 12/12/2013
Florida 02/09/1994
Georgia 12/12/2013
Hawaii 12/12/2013
Idaho 12/12/2013
Illinois 06/14/2007
Indiana 12/12/2013
Iowa 12/12/2013
Kansas 12/12/2013
Kentucky 12/12/2013
Louisiana 12/12/2013
Maine 12/12/2013
Maryland 12/12/2013
Massachusetts 12/12/2013
Michigan 12/12/2013
Minnesota 12/12/2013
Mississippi 12/12/2013
Missouri 12/12/2013
Montana 12/12/2013
Nebraska 12/12/2013
Nevada 12/12/2013
New Hampshire 12/12/2013
New Jersey 08/30/1993
New Mexico 12/12/2013
New York 11/27/1992
North Carolina 12/12/2013
North Dakota 12/12/2013
Ohio 12/12/2013
Oklahoma 12/12/2013
Oregon 12/12/2013
Pennsylvania 12/12/2013
Puerto Rico 12/12/2013
Rhode Island 12/12/2013
South Carolina 12/12/2013
South Dakota 12/12/2013
Tennessee 12/12/2013
Texas 12/12/2013
Utah 12/12/2013
Vermont 12/12/2013
Virgin Islands 12/12/2013
Virginia 05/28/2010
Washington 12/12/2013
West Virginia 12/12/2013
Wisconsin 12/12/2013
Wyoming 05/25/2018

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