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Investment Adviser Firm Summary

MITTLEMAN INVESTMENT MANAGEMENT, LLC (CRD# 138338 / SEC# 801-65027)
Alternate Names: MITTLEMAN BROTHERS INVESTMENT MANAGEMENT , MITTLEMAN BROTHERS LLC , MITTLEMAN INVESTMENT MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/16/2005
California Terminated 10/28/2009
Connecticut Terminated 10/23/2009
Massachusetts Terminated 10/23/2009
New Jersey Terminated 10/23/2009

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
California 12/16/2005
Colorado 01/21/2011
Connecticut 12/16/2005
Florida 12/16/2005
Illinois 01/14/2014
Maryland 03/31/2017
Massachusetts 12/16/2005
Michigan 12/08/2010
New Jersey 12/22/2009
New York 12/16/2005
Ohio 03/31/2017
Pennsylvania 11/03/2011
Texas 04/06/2010

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