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Investment Adviser Firm Summary

WESTEND ADVISORS, LLC (CRD# 133279 / SEC# 801-63626)
Alternate Names: SOUTHVIEW PARTNERS , SOUTHVIEW PARTNERS, LLC , WESTEND ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/18/2005

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 09/10/2008
Arizona 01/23/2009
California 10/03/2007
Connecticut 03/03/2008
Delaware 02/22/2010
District of Columbia 09/10/2008
Florida 04/19/2005
Georgia 04/18/2005
Illinois 03/05/2008
Indiana 02/18/2011
Kentucky 01/23/2009
Louisiana 01/29/2007
Maine 05/04/2012
Maryland 03/03/2008
Massachusetts 10/03/2007
Michigan 01/29/2007
Minnesota 03/17/2008
Missouri 09/25/2015
Montana 02/18/2011
Nebraska 04/06/2011
Nevada 03/03/2008
New Hampshire 03/03/2008
New Jersey 05/11/2005
New York 04/18/2005
North Carolina 03/18/2005
Ohio 01/29/2007
Oregon 03/04/2014
Pennsylvania 01/29/2007
Rhode Island 11/05/2015
South Carolina 04/18/2005
Tennessee 04/19/2005
Texas 01/29/2007
Vermont 10/03/2007
Virginia 04/18/2005
Washington 03/03/2008
West Virginia 04/18/2005

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