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Investment Adviser Firm Summary

LIPE & DALTON,INC. (CRD# 132737 / SEC# 801-66472)
Alternate Names: LIPE & DALTON INVESTMENT COUNSEL , LIPE & DALTON,INC. , WWW.LIPEANDDALTON.COM

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/23/2006
New York Terminated 03/28/2006

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
Connecticut 06/09/2011
Florida 11/10/2015
Indiana 03/14/2018
Massachusetts 09/02/2011
Nevada 03/13/2014
New Hampshire 03/14/2018
New Jersey 06/18/2012
New Mexico 03/14/2018
New York 03/23/2006
North Carolina 09/05/2012
Ohio 03/14/2018
Tennessee 03/14/2018
Washington 03/14/2018

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