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Investment Adviser Firm Summary

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED (CRD# 112284 / SEC# 801-55108)
Alternate Names: ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/13/1998

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
California 06/09/2009
Colorado 10/30/2009
Connecticut 10/30/2009
Delaware 01/28/2011
Florida 11/02/2009
Illinois 11/30/2009
Indiana 10/30/2009
Maryland 06/09/2009
Massachusetts 10/30/2009
Minnesota 01/29/2016
Nevada 06/09/2009
New Jersey 07/10/2009
New York 06/09/2009
North Carolina 01/29/2014
Oklahoma 09/17/2015
Pennsylvania 06/09/2009
Texas 06/09/2009
Utah 10/30/2009
Vermont 01/29/2014
Virginia 06/09/2009
Washington 06/11/2015

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