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Investment Adviser Firm Summary

WELLESLEY ASSET MANAGEMENT, INC. (CRD# 116176 / SEC# 801-61288)
Alternate Names: WELLESLEY ASSET MANAGEMENT, INC. , WELLESLEY INVESTMENT ADVISORS, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/27/2002

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 10/24/2011
Alaska 12/22/2011
Arizona 10/04/2011
Arkansas 09/10/2010
California 10/19/2009
Colorado 06/30/2011
Connecticut 06/27/2002
Delaware 08/31/2010
District of Columbia 03/27/2013
Florida 07/10/2007
Georgia 03/29/2012
Hawaii 09/02/2010
Idaho 10/24/2011
Illinois 02/25/2011
Indiana 09/02/2010
Iowa 03/29/2012
Kansas 03/27/2013
Kentucky 08/20/2010
Louisiana 09/10/2010
Maine 03/02/2007
Maryland 08/20/2010
Massachusetts 06/27/2002
Michigan 08/20/2010
Minnesota 06/30/2011
Mississippi 09/10/2010
Missouri 06/30/2011
Montana 10/14/2011
Nebraska 08/24/2011
Nevada 10/24/2011
New Hampshire 01/25/2006
New Jersey 10/06/2008
New Mexico 03/27/2013
New York 03/05/2010
North Carolina 08/20/2010
North Dakota 03/27/2013
Ohio 08/20/2010
Oklahoma 03/29/2012
Oregon 12/22/2011
Pennsylvania 08/20/2010
Rhode Island 01/25/2006
South Carolina 08/20/2010
South Dakota 03/29/2012
Tennessee 09/09/2011
Texas 03/22/2007
Utah 12/22/2011
Vermont 03/31/2005
Virginia 08/20/2010
Washington 10/24/2011
West Virginia 06/02/2010
Wisconsin 08/20/2010

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