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Investment Adviser Firm Summary

SAXONY CAPITAL MANAGEMENT LLC. (CRD# 122692 / SEC# 801-68385)
Alternate Names: SAXONY CAPITAL MANAGEMENT LLC. , SAXONY CAPITAL MANAGEMENT, LLC , SAXONY INSURANCE AGENCY, LLC , SAXONY INVESTMENT MANAGEMENT CORP. , SAXONY SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/15/2007
Arkansas Terminated 10/15/2007
California Terminated 10/15/2007
Connecticut Terminated 10/15/2007
Florida Terminated 10/15/2007
Indiana Terminated 10/24/2005
Massachusetts Terminated 01/16/2007
Mississippi Terminated 10/24/2005
Missouri Terminated 10/15/2007
New Jersey Terminated 10/24/2007
North Carolina Terminated 10/15/2007
Ohio Terminated 10/15/2007
South Carolina Terminated 11/09/2005
Tennessee Terminated 05/31/2006
Texas Terminated 10/15/2007
Utah Terminated 12/31/2006
Wisconsin Terminated 10/15/2007

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
Arizona 10/05/2012
Arkansas 10/15/2007
California 09/16/2004
Colorado 07/12/2016
Florida 10/15/2007
Georgia 06/22/2012
Hawaii 10/15/2007
Illinois 10/15/2007
Iowa 03/29/2018
Kentucky 04/23/2018
Michigan 07/26/2012
Missouri 10/15/2007
Montana 03/22/2016
Nebraska 06/30/2015
New Jersey 10/24/2007
New York 10/15/2007
North Carolina 04/19/2017
Ohio 01/15/2008
Pennsylvania 10/15/2007
South Carolina 08/23/2016
Texas 10/15/2007
Wisconsin 10/15/2007
Wyoming 08/25/2017

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