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Investment Adviser Firm Summary

WHITEBOX ADVISORS LLC (CRD# 121995 / SEC# 801-65882)
Alternate Names: PANDORA SELECT ADVISORS, LLC (RELYING ADVISER) , WHITEBOX ADVISORS AUSTRALIA PTY LTD. (RELYING ADVISER) , WHITEBOX ADVISORS LLC , WHITEBOX ADVISORS LONDON, LLP (RELYING ADVISER) , WHITEBOX ADVISORS NEW YORK LLC (RELYING ADVISER) , WHITEBOX ADVISORS TEXAS LLC (RELYING ADVISER) , WHITEBOX ASYMMETRIC ADVISORS, LLC (RELYING ADVISER) , WHITEBOX CLO MANAGEMENT LLC (RELYING ADVISER) , WHITEBOX CREDIT ADVISORS, LLC (RELYING ADVISER) , WHITEBOX MULTI-STRATEGY ADVISORS, LLC (RELYING ADVISER) , WHITEBOX RELATIVE VALUE ADVISORS, LLC (RELYING ADVISER) , WHITEBOX SPECIAL OPPORTUNITIES ADVISORS, LLC (RELYING ADVISER)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/31/2006

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
Minnesota 01/31/2006
Texas 04/20/2010

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