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Investment Adviser Firm Summary

WL ROSS & CO. LLC (CRD# 141854 / SEC# 801-67779)
Alternate Names: WL ROSS & CO. LLC , WLR ASIA

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/25/2007

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 04/25/2007
Alaska 04/25/2007
Arizona 04/25/2007
Arkansas 04/25/2007
California 04/25/2007
Colorado 04/25/2007
Connecticut 04/25/2007
Delaware 04/25/2007
District of Columbia 04/25/2007
Florida 04/25/2007
Georgia 04/25/2007
Hawaii 04/25/2007
Idaho 04/25/2007
Illinois 05/08/2007
Indiana 04/25/2007
Iowa 04/27/2007
Kansas 04/25/2007
Kentucky 04/25/2007
Louisiana 06/20/2007
Maine 04/25/2007
Maryland 04/25/2007
Massachusetts 04/25/2007
Michigan 04/25/2007
Minnesota 04/25/2007
Mississippi 04/25/2007
Missouri 04/25/2007
Montana 04/25/2007
Nebraska 04/25/2007
Nevada 04/25/2007
New Hampshire 04/25/2007
New Jersey 04/25/2007
New Mexico 04/25/2007
New York 04/25/2007
North Carolina 04/25/2007
North Dakota 04/25/2007
Ohio 04/25/2007
Oklahoma 04/25/2007
Oregon 04/25/2007
Pennsylvania 04/25/2007
Puerto Rico 04/25/2007
Rhode Island 04/25/2007
South Carolina 04/25/2007
South Dakota 06/04/2007
Tennessee 04/25/2007
Texas 04/25/2007
Utah 04/25/2007
Vermont 04/25/2007
Virginia 04/25/2007
Washington 04/25/2007
West Virginia 04/25/2007
Wisconsin 04/25/2007

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