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Investment Adviser Firm Summary

AXIOM INVESTMENT MANAGEMENT LLC (CRD# 141516 / SEC# 801-67131)
Alternate Names: AXIOM INVESTMENT MANAGEMENT LLC , ROCKEFELLER CAPITAL MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/24/2006

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
Arkansas 01/02/2013
California 09/11/2006
Colorado 03/29/2011
Connecticut 03/29/2011
District of Columbia 01/02/2013
Florida 08/24/2006
Georgia 01/02/2013
Hawaii 01/02/2013
Idaho 03/29/2011
Illinois 03/29/2011
Iowa 03/29/2011
Louisiana 03/29/2011
Maryland 03/29/2011
Massachusetts 03/29/2011
Michigan 01/02/2013
New Hampshire 01/02/2013
New Jersey 05/13/2011
New York 09/11/2006
North Carolina 01/02/2013
Ohio 03/29/2011
Pennsylvania 03/29/2011
South Carolina 03/29/2011
Tennessee 03/29/2011
Texas 03/29/2011
Utah 03/29/2011
Vermont 03/29/2011
Virgin Islands 03/29/2011
Virginia 03/29/2011
Washington 03/29/2011

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