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Investment Adviser Firm Summary

RHODES INVESTMENT ADVISORS, INC. (CRD# 114245)
Alternate Names: CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES , DAVID A. BURGESS DBA BURGESS FINANCIAL , GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. , HARRISON S. REED III, DBA REED INVESTMENTS , JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS , JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. , JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT , PREFERRED FINANCIAL SERVICES, INC. , RHODES INVESTMENT ADVISORS, INC. , RHODES SECURITIES, INC. , ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC , SUSAN PARIS, DBA PARIS FINANCIAL SERVICES , TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT , WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Kansas Approved 11/07/2006
Louisiana Approved 03/23/2005
New Mexico Approved 02/02/2005
Oklahoma Approved 03/29/2004
South Carolina Approved 03/16/2005
Texas Approved 05/22/1996
Washington Terminated 12/31/2012

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.


Not Currently Notice Filed


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