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Investment Adviser Firm Summary

CAPITAL ONE ADVISORS, LLC (CRD# 136865 / SEC# 801-64662)
Alternate Names: CAPITAL ONE ADVISORS, LLC , SHAREBUILDER 401K , SHAREBUILDER ADVISORS, LLC , SPARK 401K

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/02/2005

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 09/15/2005
Alaska 09/16/2005
Arizona 09/15/2005
Arkansas 09/19/2005
California 09/15/2005
Colorado 09/15/2005
Connecticut 09/15/2005
Delaware 09/20/2005
District of Columbia 09/15/2005
Florida 09/16/2005
Georgia 09/15/2005
Hawaii 09/15/2005
Idaho 09/15/2005
Illinois 09/16/2005
Indiana 09/15/2005
Iowa 09/19/2005
Kansas 09/15/2005
Kentucky 09/15/2005
Louisiana 09/15/2005
Maine 09/15/2005
Maryland 09/15/2005
Massachusetts 10/25/2005
Michigan 09/15/2005
Minnesota 09/27/2005
Mississippi 09/15/2005
Missouri 09/15/2005
Montana 09/15/2005
Nebraska 09/15/2005
Nevada 09/15/2005
New Hampshire 09/15/2005
New Jersey 09/19/2005
New Mexico 09/15/2005
New York 09/15/2005
North Carolina 09/15/2005
North Dakota 09/15/2005
Ohio 09/15/2005
Oklahoma 09/15/2005
Oregon 09/15/2005
Pennsylvania 09/15/2005
Rhode Island 09/15/2005
South Carolina 09/15/2005
South Dakota 09/15/2005
Tennessee 09/16/2005
Texas 09/15/2005
Utah 09/15/2005
Vermont 09/15/2005
Virginia 09/15/2005
Washington 09/02/2005
West Virginia 09/15/2005
Wisconsin 09/15/2005
Wyoming 03/29/2018

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