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Investment Adviser Firm Summary

PATHSTONE FAMILY OFFICE, LLC (CRD# 151736 / SEC# 801-70776)
Alternate Names: PATHSTONE , PATHSTONE FAMILY OFFICE, LLC , PATHSTONE FEDERAL STREET , STONE TOWER FAMILY OFFICE, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/04/2009

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 03/29/2011
California 03/22/2013
Connecticut 02/04/2010
Delaware 01/02/2014
District of Columbia 10/10/2012
Florida 02/05/2010
Georgia 02/04/2010
Illinois 11/02/2016
Louisiana 03/29/2011
Maine 03/29/2016
Maryland 03/29/2016
Massachusetts 01/04/2016
Michigan 03/25/2014
Mississippi 03/25/2014
Nevada 11/02/2016
New Hampshire 01/04/2016
New Jersey 03/10/2010
New York 02/04/2010
North Carolina 11/02/2016
Ohio 11/02/2016
Oregon 11/02/2016
Pennsylvania 03/29/2011
Rhode Island 11/02/2016
South Carolina 11/02/2016
Tennessee 11/02/2016
Texas 07/11/2012
Vermont 01/04/2016
Virginia 03/25/2014
Washington 11/02/2016
Wyoming 03/29/2018

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