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Investment Adviser Firm Summary

SVB ASSET MANAGEMENT (CRD# 124567 / SEC# 801-61674)
Alternate Names: SVB ASSET MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/02/2003

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 03/31/2017
California 01/02/2003
Colorado 01/10/2003
Connecticut 01/10/2003
Georgia 01/10/2003
Illinois 03/18/2014
Maryland 01/10/2003
Massachusetts 01/10/2003
Minnesota 04/13/2004
New Jersey 01/10/2003
New York 01/10/2003
North Carolina 07/18/2005
Oregon 10/25/2012
Pennsylvania 01/10/2003
Texas 01/10/2003
Utah 10/25/2012
Virginia 04/20/2011
Washington 01/10/2003

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