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Investment Adviser Firm Summary

ROYAL PALM INVESTMENT ADVISORS, INC (CRD# 142335)
Alternate Names: ROYAL PALM INVESTMENT ADVISORS, INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Arizona Approved 01/01/2008
California Approved 02/06/2007
Colorado Terminated 11/28/2011
Florida Approved 01/02/2007
Georgia Approved 05/30/2007
Illinois Approved 04/02/2007
Indiana Approved 06/15/2009
Louisiana Terminated 12/31/2010
Minnesota Approved 08/14/2017
Missouri Terminated 11/18/2011
Nevada Terminated 12/31/2010
North Carolina Approved 06/25/2007
Ohio Approved 11/14/2006
Pennsylvania Terminated 11/06/2015
South Carolina Terminated 11/18/2011
Texas Approved 01/29/2007
Virginia Terminated 11/22/2011

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.


Not Currently Notice Filed


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