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Investment Adviser Firm Summary

LAZARD ASSET MANAGEMENT LLC (CRD# 122836 / SEC# 801-61701)
Alternate Names: LAZARD ASSET MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/31/2002

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 12/31/2002
Alaska 12/31/2002
Arizona 12/31/2002
Arkansas 12/31/2002
California 12/31/2002
Colorado 11/22/2010
Connecticut 04/11/2003
Delaware 07/11/2003
District of Columbia 12/31/2002
Florida 01/03/2003
Georgia 12/31/2002
Hawaii 12/31/2002
Idaho 12/31/2002
Illinois 01/17/2003
Indiana 12/31/2002
Iowa 12/31/2002
Kansas 12/31/2002
Kentucky 12/31/2002
Louisiana 12/31/2002
Maine 12/31/2002
Maryland 12/31/2002
Massachusetts 12/31/2002
Michigan 12/31/2002
Minnesota 01/01/2003
Mississippi 12/31/2002
Missouri 12/31/2002
Montana 12/31/2002
Nebraska 12/31/2002
Nevada 12/31/2002
New Hampshire 12/31/2002
New Jersey 12/31/2002
New Mexico 12/31/2002
New York 12/31/2002
North Carolina 12/31/2002
North Dakota 12/31/2002
Ohio 12/31/2002
Oklahoma 12/31/2002
Oregon 12/31/2002
Pennsylvania 12/31/2002
Puerto Rico 12/31/2002
Rhode Island 12/31/2002
South Carolina 12/31/2002
South Dakota 12/31/2002
Tennessee 12/31/2002
Texas 01/02/2003
Utah 12/31/2002
Vermont 12/31/2002
Virginia 12/31/2002
Washington 12/31/2002
West Virginia 01/06/2003
Wisconsin 12/31/2002

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