at


Investment Adviser Firm Summary

EK RILEY INVESTMENTS, LLC (CRD# 121003 / SEC# 8-65369, 801-78547)
Alternate Names: EK RILEY INVESTMENTS, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/25/2013
California Terminated 10/26/2013
Louisiana Terminated 09/30/2013
Montana Terminated 09/26/2013
New Mexico Approved 01/09/2018
Oregon Terminated 10/03/2013
Texas Terminated 09/26/2013
Washington Terminated 10/02/2013

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 12/09/2015
Arizona 09/25/2013
California 09/25/2013
Colorado 09/25/2013
Florida 07/14/2016
Georgia 02/23/2016
Hawaii 09/01/2017
Idaho 09/25/2013
Illinois 09/25/2013
Indiana 07/23/2015
Louisiana 08/04/2016
Maine 09/25/2013
Maryland 09/01/2016
Massachusetts 09/25/2013
Montana 09/25/2013
Nevada 12/09/2015
New Jersey 10/08/2013
New Mexico 09/07/2017
New York 12/09/2015
North Carolina 07/14/2016
Ohio 12/15/2014
Oregon 09/25/2013
Pennsylvania 08/04/2016
South Carolina 08/04/2016
Tennessee 06/26/2015
Texas 09/25/2013
Utah 09/25/2013
Virginia 12/09/2015
Washington 09/25/2013

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