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Investment Adviser Firm Summary

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. (CRD# 113181 / SEC# 801-60383)
Alternate Names: REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. , YOUR FINANCIAL COACHES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/03/2001
Louisiana Cancelled 07/03/2001
New York Cancelled 04/20/2007

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 12/08/2005
California 04/01/2005
Colorado 03/29/2018
Connecticut 03/29/2018
Florida 04/04/2002
Georgia 03/27/2006
Louisiana 07/03/2001
Massachusetts 08/22/2008
Mississippi 03/29/2018
New Mexico 12/02/2008
New York 05/25/2007
North Carolina 08/22/2008
Ohio 03/29/2018
Oklahoma 11/06/2012
Pennsylvania 07/18/2005
Tennessee 03/30/2015
Texas 06/25/2004

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