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Investment Adviser Firm Summary

INTEROCEAN CAPITAL, LLC (CRD# 136887 / SEC# 801-64666)
Alternate Names: INTEROCEAN CAPITAL LLC , INTEROCEAN CAPITAL, LLC , INTEROCEAN FINANCE LLC , PCL LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/19/2005

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 01/13/2016
Arizona 08/14/2013
Arkansas 04/27/2016
California 08/14/2013
Colorado 08/14/2013
Connecticut 05/05/2014
District of Columbia 11/01/2016
Florida 08/15/2013
Georgia 10/15/2014
Hawaii 11/23/2016
Idaho 02/15/2018
Illinois 11/23/2005
Indiana 02/25/2015
Iowa 10/15/2014
Kentucky 05/05/2014
Louisiana 03/12/2015
Maine 05/05/2014
Maryland 02/03/2017
Massachusetts 05/05/2014
Michigan 05/05/2014
Minnesota 05/05/2014
Mississippi 08/12/2016
Missouri 08/11/2015
Nevada 05/05/2014
New Hampshire 04/26/2017
New Jersey 03/19/2015
New York 09/17/2015
North Carolina 10/29/2014
North Dakota 11/01/2016
Ohio 08/14/2013
Oklahoma 04/13/2015
Oregon 05/05/2014
Pennsylvania 05/05/2014
South Carolina 01/30/2015
South Dakota 10/03/2014
Tennessee 06/08/2010
Texas 10/16/2014
Utah 06/29/2015
Vermont 05/05/2014
Virginia 10/03/2014
Washington 02/15/2018
West Virginia 10/03/2014
Wisconsin 08/14/2013

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