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Investment Adviser Firm Summary

ENVESTNET ASSET MANAGEMENT, INC. (CRD# 111694 / SEC# 801-57260)
Alternate Names: ENVESTNET ADVISORY CORP. , ENVESTNET ASSET MANAGEMENT, INC. , ENVESTNET | PLACEMARK , ENVESTNET | PMC , ENVESTNETPMC, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/10/2000

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
Alabama 05/23/2002
Alaska 05/24/2002
Arizona 01/30/2002
Arkansas 05/28/2002
California 09/06/2001
Colorado 09/06/2001
Connecticut 05/13/2002
Delaware 06/27/2003
District of Columbia 05/24/2002
Florida 11/02/2001
Georgia 09/06/2001
Hawaii 05/23/2002
Idaho 05/23/2002
Illinois 06/08/2000
Indiana 09/06/2001
Iowa 09/10/2001
Kansas 09/06/2001
Kentucky 09/06/2001
Louisiana 05/23/2002
Maine 05/23/2002
Maryland 05/23/2002
Massachusetts 09/06/2001
Michigan 09/06/2001
Minnesota 05/30/2002
Mississippi 05/23/2002
Missouri 09/06/2001
Montana 05/23/2002
Nebraska 05/23/2002
Nevada 05/23/2002
New Hampshire 09/06/2001
New Jersey 05/23/2002
New Mexico 05/31/2002
New York 06/12/2000
North Carolina 02/27/2002
North Dakota 05/23/2002
Ohio 09/06/2001
Oklahoma 03/29/2002
Oregon 05/23/2002
Pennsylvania 04/23/2002
Puerto Rico 05/23/2002
Rhode Island 05/23/2002
South Carolina 05/23/2002
South Dakota 05/28/2002
Tennessee 01/31/2002
Texas 06/22/2000
Utah 05/24/2002
Vermont 06/22/2000
Virgin Islands 07/02/2010
Virginia 09/06/2001
Washington 02/27/2002
West Virginia 05/28/2002
Wisconsin 01/30/2002
Wyoming 03/16/2018

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