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Investment Adviser Firm Summary

GRADIENT INVESTMENTS, LLC (CRD# 141726 / SEC# 801-70812)
Alternate Names: GRADIENT INVESTMENT GROUP LLC , GRADIENT INVESTMENTS, LLC , REGISTERED INDEPENDENT AGENTS, LLC , REGISTERED INDEPENDENT ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/01/2009
Alabama Terminated 01/20/2010
Arizona Terminated 12/08/2009
California Terminated 12/09/2009
Colorado Terminated 12/10/2009
Florida Terminated 12/08/2009
Idaho Terminated 12/08/2009
Kansas Terminated 12/08/2009
Maryland Terminated 12/21/2009
Minnesota Terminated 12/08/2009
Missouri Terminated 12/08/2009
Nevada Terminated 12/31/2009
New Jersey Terminated 12/08/2009
New York Cancelled 11/19/2009
North Carolina Terminated 12/08/2009
Ohio Terminated 12/08/2009
Pennsylvania Terminated 12/10/2009
South Carolina Terminated 12/08/2009
Tennessee Terminated 12/23/2009
Texas Terminated 12/08/2009
Virginia Terminated 12/09/2009
Wisconsin Terminated 12/08/2009

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
Alabama 11/15/2013
Arizona 12/01/2009
Arkansas 12/01/2009
California 10/25/2007
Colorado 12/01/2009
Connecticut 03/20/2012
Delaware 03/10/2016
Florida 12/01/2009
Georgia 01/07/2013
Hawaii 10/31/2017
Idaho 12/01/2009
Illinois 12/01/2009
Indiana 12/01/2009
Iowa 01/07/2013
Kansas 12/01/2009
Kentucky 12/01/2009
Louisiana 12/01/2009
Maine 11/15/2013
Maryland 12/01/2009
Massachusetts 12/01/2009
Michigan 12/01/2009
Minnesota 12/01/2009
Mississippi 07/26/2010
Missouri 12/01/2009
Nebraska 07/26/2010
Nevada 12/01/2009
New Hampshire 11/14/2014
New Jersey 12/08/2009
New Mexico 12/01/2009
New York 12/01/2009
North Carolina 12/01/2009
North Dakota 03/10/2016
Ohio 12/01/2009
Oklahoma 12/01/2009
Oregon 07/14/2010
Pennsylvania 12/01/2009
South Carolina 12/01/2009
South Dakota 07/14/2010
Tennessee 12/01/2009
Texas 12/01/2009
Utah 11/15/2013
Virginia 12/01/2009
Washington 07/14/2010
West Virginia 10/31/2017
Wisconsin 12/01/2009

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