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Investment Adviser Firm Summary

CAPITAL CITIES INVESTMENTS (CRD# 116185 / SEC# 801-69504)
Alternate Names: CAPITAL CITIES INVESTMENTS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/27/2008
Florida Terminated 08/27/2008
Indiana Terminated 08/27/2008
Massachusetts Terminated 09/10/2008
Vermont Terminated 08/27/2008
Virginia Terminated 08/27/2008

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
Colorado 12/17/2014
Florida 08/27/2008
Illinois 06/12/2017
Indiana 08/27/2008
Louisiana 09/15/2014
Massachusetts 08/27/2008
New Hampshire 08/04/2010
New York 01/05/2017
Texas 06/10/2015
Vermont 08/27/2008
Virginia 08/27/2008

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