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Investment Adviser Firm Summary

ARETE WEALTH ADVISORS, LLC (CRD# 145488 / SEC# 801-69827)
Alternate Names: ALVERY BARTLETT GROUP , ARETE WEALTH ADVISORS, LLC , AXXCESS WEALTH MANAGEMENT, LLC , DUPRE CARRIER GODCHAUX FINANCIAL SERVICES , GOVIC CAPITAL , IJK FUNDS , INSIGHT WEALTH GROUP , JOHN GALT WEALTH SOLUTIONS , MAGNOLIA CAPITAL MANAGEMENT , MD WEALTH PARTNER , NTS BEARING , OLD GROWTH CAPITAL , SILVERCAP WEALTH MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/05/2009
District of Columbia Terminated 01/12/2009
Illinois Terminated 01/08/2008
Maryland Terminated 02/10/2009
Massachusetts Terminated 01/22/2009
Virginia Terminated 01/12/2009

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 08/24/2012
Arizona 02/17/2010
Arkansas 01/06/2011
California 03/20/2009
Colorado 01/02/2014
Connecticut 10/03/2016
Delaware 02/17/2017
District of Columbia 01/08/2009
Florida 05/04/2009
Georgia 07/25/2014
Hawaii 05/01/2009
Idaho 08/31/2017
Illinois 01/08/2009
Indiana 08/24/2012
Iowa 08/20/2012
Kansas 08/24/2012
Kentucky 10/03/2016
Louisiana 01/08/2009
Maine 03/08/2012
Maryland 01/08/2009
Massachusetts 01/08/2009
Michigan 06/10/2013
Minnesota 08/24/2012
Mississippi 02/28/2011
Missouri 11/28/2011
Nebraska 08/24/2012
Nevada 03/12/2012
New Hampshire 03/12/2012
New Jersey 08/08/2012
New Mexico 02/12/2015
New York 01/06/2011
North Carolina 10/07/2011
North Dakota 08/31/2017
Ohio 08/24/2012
Oklahoma 03/31/2015
Oregon 01/08/2009
Pennsylvania 10/04/2013
South Carolina 05/01/2009
South Dakota 09/10/2012
Tennessee 01/09/2009
Texas 09/27/2010
Utah 09/20/2017
Vermont 10/03/2016
Virginia 01/08/2009
Washington 08/24/2012
West Virginia 07/08/2015
Wisconsin 01/06/2011

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