at


Investment Adviser Firm Summary

WMD ASSET MANAGEMENT, LLC (CRD# 156424 / SEC# 801-72409)
Alternate Names: GI RECF, LLC (RELYING ADVISER) , GI SILVER OFFSHORE II, LLC (RELYING ADVISER) , GI SILVER OFFSHORE, LLC (RELYING ADVISER) , GI USMOF OFFSHORE, LLC (RELYING ADVISER) , WMD ASSET MANAGEMENT, LLC , WMD ASSET MANAGEMENT, LLC (RELYING ADVISER) , WMD COF-I GP, LLC (RELYING ADVISER) , WMD LIQUID RE GP, LLC (RELYING ADVISER) , WMD OSI-I GP, LLC (RELYING ADVISER)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/06/2011

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
California 07/06/2011
Colorado 04/04/2014
Florida 04/04/2014

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