Investment Adviser Firm Summary

3D ASSET MANAGEMENT, INC. (CRD# 139595 / SEC# 801-68413)
Alternate Names: 3D ASSET MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


SEC Approved 10/01/2007
California Terminated 10/01/2007
Connecticut Terminated 10/01/2007
Florida Terminated 11/16/2007
Georgia Terminated 10/01/2007
Illinois Terminated 09/27/2007
Massachusetts Terminated 10/02/2007
New Jersey Terminated 10/01/2007
Ohio Terminated 10/01/2007
Oregon Terminated 10/01/2007
Pennsylvania Terminated 10/04/2007
Rhode Island Terminated 10/01/2007
Texas Terminated 10/01/2007
Vermont Terminated 10/01/2007
Washington Terminated 10/01/2007


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.

Alabama 09/17/2010
Arizona 06/29/2009
California 08/21/2009
Connecticut 09/28/2007
Florida 10/01/2007
Georgia 06/17/2011
Hawaii 07/29/2010
Illinois 09/28/2007
Indiana 05/27/2015
Iowa 05/27/2015
Kentucky 01/08/2010
Maine 02/14/2011
Maryland 08/21/2009
Massachusetts 09/28/2007
Michigan 09/28/2007
Minnesota 09/04/2008
Missouri 05/16/2008
New Hampshire 08/26/2008
New Jersey 10/02/2007
New Mexico 03/31/2017
New York 10/01/2007
North Carolina 05/16/2008
Ohio 08/21/2009
Oregon 07/14/2009
Pennsylvania 09/28/2007
Rhode Island 09/28/2007
South Carolina 03/24/2014
South Dakota 03/24/2014
Tennessee 02/14/2011
Texas 09/28/2007
Vermont 09/28/2007
Virginia 11/04/2008
Washington 03/19/2009
Wisconsin 02/23/2009


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