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Investment Adviser Firm Summary

HORTER INVESTMENT MANAGEMENT, LLC (CRD# 119880 / SEC# 801-67471)
Alternate Names: HORTER ASSET MANAGEMENT , HORTER DREW KENT , HORTER FINANCIAL STRATEGIES, LLC , HORTER INVESTMENT MANAGEMENT , HORTER INVESTMENT MANAGEMENT, LLC , HORTER, DREW KENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/12/2007
California Terminated 01/31/2007
Delaware Terminated 04/23/2007
Ohio Terminated 01/31/2007
Pennsylvania Terminated 01/31/2007

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 02/13/2008
Alaska 01/06/2014
Arizona 06/14/2007
Arkansas 06/12/2007
California 09/01/2006
Colorado 10/01/2008
Connecticut 08/25/2009
Delaware 04/23/2007
District of Columbia 03/25/2015
Florida 06/15/2007
Georgia 05/16/2008
Hawaii 03/12/2013
Idaho 05/20/2009
Illinois 08/01/2007
Indiana 01/27/2010
Iowa 06/22/2007
Kansas 02/29/2012
Kentucky 04/19/2007
Louisiana 03/06/2013
Maine 03/25/2015
Maryland 04/15/2010
Massachusetts 10/21/2009
Michigan 06/14/2007
Minnesota 09/16/2009
Mississippi 12/18/2007
Missouri 05/23/2007
Montana 03/25/2015
Nebraska 06/21/2007
Nevada 08/30/2010
New Hampshire 02/10/2009
New Jersey 10/20/2011
New Mexico 04/12/2011
New York 05/11/2012
North Carolina 01/31/2008
North Dakota 03/25/2015
Ohio 01/12/2007
Oklahoma 05/19/2014
Oregon 08/19/2009
Pennsylvania 01/12/2007
Rhode Island 01/25/2013
South Carolina 06/17/2008
South Dakota 03/25/2015
Tennessee 12/10/2009
Texas 10/01/2008
Utah 02/03/2012
Vermont 03/25/2015
Virgin Islands 03/25/2015
Virginia 01/12/2007
Washington 04/04/2007
West Virginia 12/01/2014
Wisconsin 08/09/2007
Wyoming 03/30/2018

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