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Investment Adviser Firm Summary

TFO-TDC, LLC (CRD# 124407 / SEC# 801-62074)
Alternate Names: HUSCH FAMILY OFFICE, LLC , RFG INVESTMENT ADVISORY , SYNERGY INVESTMENT MANAGEMENT , SYNERGY WEALTH PARTNERS , TDC CALIFORNIA , TDC DENVER , TDC INVESTMENT ADVISORY , TDC ST. LOUIS , TDC ST. LOUIS, LLC , TDC VIRGINIA , TFO , TFO PHOENIX , TFO PHOENIX, LLC , TFO-TDC, LLC , WVC WEALTH ADVISORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/28/2003

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 06/26/2009
California 01/07/2010
Colorado 07/26/2012
Connecticut 06/11/2014
Florida 09/05/2006
Georgia 09/28/2015
Illinois 05/13/2010
Indiana 11/17/2015
Maryland 09/01/2006
Michigan 01/07/2010
Minnesota 08/04/2014
Missouri 05/28/2003
New Hampshire 05/13/2010
New York 01/07/2010
North Carolina 09/21/2011
Ohio 10/13/2006
Pennsylvania 01/07/2010
Tennessee 09/25/2018
Texas 12/18/2009
Virginia 08/14/2012

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