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Investment Adviser Firm Summary

UHLMANN INVESTMENT MANAGEMENT, L.L.C. (CRD# 118025 / SEC# 801-113188)
Alternate Names: PERPETUAL WEALTH MANAGEMENT , UHLMANN INVESTMENT MANAGEMENT, L.L.C. , UHLMANN INVESTMENT MANAGEMENT, L.L.C. , UHLMANN INVESTMENT MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/07/2018
Arizona Approved 08/15/2017
Georgia Terminated 07/28/2017
Illinois Terminated 05/07/2018
Indiana Terminated 11/18/2014
Louisiana Terminated 11/18/2014
Michigan Terminated 08/01/2017

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
Arizona 05/07/2018
California 05/07/2018
Colorado 05/07/2018
Connecticut 11/09/2018
Delaware 05/07/2018
Florida 05/07/2018
Georgia 05/07/2018
Illinois 05/07/2018
Iowa 05/07/2018
Massachusetts 11/09/2018
Michigan 05/07/2018
Minnesota 05/07/2018
Nevada 05/07/2018
Oregon 11/09/2018
Pennsylvania 05/07/2018
Tennessee 05/07/2018
Texas 05/07/2018
Wisconsin 05/07/2018

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