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Investment Adviser Firm Summary

WISEBANYAN, INC. (CRD# 150953 / SEC# 801-79951)
Alternate Names: ARCHIPELAGO CAPITAL MANAGEMENT LLC , HWM CAPITAL MANAGEMENT LLC , WISEBANYAN , WISEBANYAN, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/25/2014
California Terminated 08/13/2014
Connecticut Terminated 07/28/2014
Delaware Terminated 07/14/2014
District of Columbia Terminated 07/14/2014
Indiana Terminated 07/14/2014
Louisiana Terminated 08/01/2014
Michigan Terminated 07/21/2014
Nevada Terminated 08/18/2014
New Jersey Terminated 07/11/2014
New York Terminated 07/14/2014
Pennsylvania Terminated 07/28/2014
Rhode Island Terminated 07/14/2014
South Carolina Terminated 07/14/2014
Texas Terminated 07/14/2014
Virginia Terminated 07/14/2014

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 12/10/2014
Alaska 12/10/2014
Arizona 12/10/2014
Arkansas 12/10/2014
California 06/25/2014
Colorado 10/02/2015
Connecticut 06/25/2014
Delaware 06/25/2014
District of Columbia 06/25/2014
Florida 12/10/2014
Georgia 12/10/2014
Hawaii 06/25/2014
Idaho 12/10/2014
Illinois 12/15/2014
Indiana 06/25/2014
Iowa 12/10/2014
Kansas 12/10/2014
Kentucky 12/10/2014
Louisiana 06/25/2014
Maine 12/10/2014
Maryland 12/10/2014
Massachusetts 06/25/2014
Michigan 06/25/2014
Minnesota 12/10/2014
Mississippi 12/10/2014
Missouri 12/10/2014
Montana 12/10/2014
Nebraska 12/10/2014
Nevada 06/25/2014
New Hampshire 12/10/2014
New Jersey 07/11/2014
New Mexico 12/10/2014
New York 06/25/2014
North Carolina 12/10/2014
North Dakota 10/02/2015
Ohio 12/10/2014
Oklahoma 12/10/2014
Oregon 12/10/2014
Pennsylvania 06/25/2014
Rhode Island 06/25/2014
South Carolina 06/25/2014
South Dakota 10/02/2015
Tennessee 12/10/2014
Texas 06/25/2014
Utah 12/10/2014
Vermont 12/10/2014
Virginia 06/25/2014
Washington 12/10/2014
West Virginia 12/10/2014
Wisconsin 12/10/2014

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