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Investment Adviser Firm Summary

HARVEST VOLATILITY MANAGEMENT, LLC (CRD# 146869 / SEC# 801-69037)
Alternate Names: HARVEST VOLATILITY ADVISORS, LLC (RELYING ADVISER) , HARVEST VOLATILITY MANAGEMENT, LLC , HARVEST VOLATILITY PARTNERS LLC (RELYING ADVISER)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/17/2008

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 02/20/2013
Arizona 02/20/2013
Arkansas 02/20/2013
California 03/28/2012
Colorado 06/28/2013
Connecticut 02/20/2013
Delaware 03/28/2018
District of Columbia 03/30/2016
Florida 02/21/2013
Georgia 03/28/2012
Illinois 03/12/2013
Indiana 03/28/2018
Kentucky 03/28/2018
Louisiana 03/28/2018
Maryland 03/31/2015
Massachusetts 03/31/2015
Michigan 02/20/2013
Missouri 03/28/2018
Nevada 03/24/2017
New Jersey 07/12/2013
New York 03/28/2012
North Carolina 03/28/2012
Ohio 03/28/2018
Oklahoma 02/20/2013
Oregon 03/28/2018
Pennsylvania 03/30/2016
South Carolina 03/30/2016
Tennessee 02/20/2013
Texas 03/28/2012
Utah 03/31/2014
Virginia 03/31/2014
Washington 02/20/2013
West Virginia 03/31/2015
Wisconsin 03/28/2018
Wyoming 03/28/2018

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