at


Investment Adviser Firm Summary

ROYAL FUND MANAGEMENT, LLC (CRD# 144434 / SEC# 801-77918)
Alternate Names: ADAGE FINANICAL CONSULTANTS, INC. , ADVANCED FINANCIAL STRATEGIES , ALTMEYER FINANCIAL INVESTMENTS, LLC , AMERICA DIRECT, LLC , BENTLEY FINANCIAL , BLACKSTON FINANCIAL ADVISORY GROUP , BRIZENDINE ADVISOR SERVICES, LLC , BUDNICK WEALTH MANAGEMENT , CLEARPOINT FINANCIAL GROUP , COLORADO ELITE RETIREMENT PLANNING, LL DBA SOLID WEALTH ADVISORS, LLC , CORNERSTONE FINANCIAL RESOURCES, LLC , EDWARDS INVESTMENTS LLC , FAMILY FINANCIAL RETIREMENT SYSTEMS LLC , FINANCIAL ADVISORS OF THE ROCKIES, INC. , FINANCIAL STRATEGIES, INC. , FINANCIAL VISION & INVESTMENT SERVICES, INC. , FRACTAL PROFILE WEALTH MANAGEMENT , FREDERICK FINANCIAL GROUP , FREDRICK ADVISORS , GOVERNMENT PERSONNEL ADVISORY GROUP, LLC , HARBOUR FINANCIAL GROUP, INC. , INTEGRITY INVESTMENT AND RISK MANAGEMENT , INTEGRITY WEALTH MANAGEMENT SOLUTIONS , IOWA WEALTH ADVISORS , J.D. UNDERWOOD WEALTH MANAGEMENT, INC. , JD UNDERWOOD FINANCIAL , JO-ANN HOLST ADVISERS, INC , LEGACY RETIREMENT SERVICES, INC. , LIFE AND LEGACY ADVISORS, LLC , LIFEPLAN PARTNERS, LLC , LONG FINANCIAL , MANEUVER, LLC , MCRAE INVESTMENT ADVISORY , NORTH POINT FINANCIAL, LLC , PATRICK LYNCH FINANCIAL , PELTZ FINANCIAL SERVICES , PRIME FINANCIAL ADVISORS , RETIREMENT INCOME SPECIALISTS , RIDGEBROOKE INVESTMENT PLANNING , ROYAL FUND MANAGEMENT , ROYAL FUND MANAGEMENT, LLC , SAGE RETIREMENT SERVICES, LLC , SIGNATURE AMERICA FINANCIAL & INSURANCE SERVICES, INC , SOLID WEALTH ADVISORS, LLC , SOLUTIONS ADVISORY SERVICES, LLC , SOUTHWEST RETIREMENT & WEALTH MANAGEMENT , STANDARD CAPITAL FINANCIAL , STILL WATERS FINANCIAL GROUP LLC , THE SORENSEN ADVISORY GROUP, LLC , TRU FINANCIAL STRATEGIES , VALLEY ASSET MANAGERS LLC , WAGNER INVESTMENT & RETIREMENT ADVISERS, LLC , WAYFINDER WEALTH MANAGEMENT , WOERNLE WEALTH MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/10/2013
Florida Terminated 08/26/2013
Kentucky Terminated 08/27/2013

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
Arizona 12/12/2014
Arkansas 05/09/2013
California 05/02/2013
Colorado 05/09/2013
Connecticut 08/12/2015
Florida 04/10/2013
Georgia 05/02/2013
Idaho 10/04/2016
Illinois 05/23/2013
Indiana 06/07/2016
Iowa 05/16/2013
Kansas 02/25/2014
Kentucky 04/10/2013
Louisiana 05/15/2015
Maine 05/31/2013
Maryland 04/23/2013
Massachusetts 06/11/2014
Michigan 06/06/2013
Minnesota 05/02/2013
Mississippi 05/05/2014
Missouri 11/22/2013
Nebraska 08/31/2015
New Hampshire 07/09/2014
New Jersey 06/04/2013
New Mexico 05/20/2013
New York 03/27/2014
North Carolina 05/31/2013
Ohio 06/04/2013
Oklahoma 05/29/2013
Pennsylvania 04/23/2013
South Carolina 05/31/2013
Tennessee 05/09/2013
Texas 05/02/2013
Utah 09/29/2016
Virginia 08/26/2013
Washington 08/31/2015
West Virginia 01/05/2015
Wisconsin 05/22/2013

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