at


Investment Adviser Firm Summary

ACORN FINANCIAL ADVISORY SERVICES, INC. (CRD# 116763 / SEC# 801-66477)
Alternate Names: ACORN FINANCIAL ADVISORY SERVICES, INC. , ACORN FINANCIAL SERVICES, INC. , ALLEGIANCE FINANCIAL , CANTO, RAUSCH, DECK & CO., P. C. , COOKE CAPITAL , H.W. REINHARDT & CO. , HERITAGE FINANCIAL , K. O'SHAUGHNESSY DBA ACORN FINANCIAL SERVICES , KC&A FINANCIAL SERVICES , KEITH CULBERTSON & ASSOCIATES, INC. , PETER J. E. GROSE DBA ACORN FINANCIAL ADVISORY SERVICES, INC. , RAUSCH FINANCIAL , SMITH & ATKINSON , THE STRATEGIC FINANCIAL ALLIANCE, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/01/2006
District of Columbia Terminated 07/20/2006
Maryland Terminated 08/10/2006
Pennsylvania Terminated 08/02/2006
Virginia Terminated 07/20/2006

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 03/13/2014
Colorado 03/13/2014
District of Columbia 01/18/2011
Florida 12/06/2013
Georgia 12/04/2015
Illinois 12/04/2015
Louisiana 03/13/2014
Maryland 05/01/2006
Massachusetts 10/01/2013
New Jersey 12/18/2015
New York 12/04/2015
North Carolina 03/05/2014
Ohio 12/04/2015
Pennsylvania 03/03/2014
South Carolina 12/04/2015
Texas 03/22/2010
Virginia 05/01/2006
West Virginia 06/07/2017

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