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Investment Adviser Firm Summary

CORECAP ADVISORS, INC. (CRD# 158819 / SEC# 801-72687)
Alternate Names: ALPERT FINANCIAL GROUP , BISHOP WEALTH PLANNING , CFS , CITY CENTER FINANCIAL , CONVERGENCE FINANCIAL ADVISORS , CONVERGENCE FINANCIAL ADVISORS, INC. , COOPER AND ADEL FINANCIAL , CORE CAPITAL ADVISORS , CORECAP ADVISORS , CORECAP ADVISORS, INC. , CORNERSTONE FINANCIAL SERVICES, LLC , EXECUTIVE FINANCIAL GROUP , EXECUTIVE PLAN SERVICES , JACKSON KENNEDY , KLAUENBERG RETIREMENT SERVICES , LIFE INCOME MANAGEMENT , MANNOR FINANCIAL SERVICES , METHOD INVESTMENT GROUP , ORAY-KING WEALTH ADVISORS , OWRS , PRESERVE WEALTH OKLAHOMA , PRINCIPIUM , QUEST FINANCIAL , ROMAIN FINANCIAL , SAA FINANCIAL , SECURE MY FUNDS , SECURE RETIREMENT QUESTS , SENIOR HEALTH BENEFITS , SIMASKO FINANCIAL , SIS FINANCIAL GROUP , SPEIR FINANCIAL SERVICES , WEALTH TRAC FINANCIAL LLC , WEALTH TRAC MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/30/2011
Illinois Terminated 06/21/2012

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 06/20/2016
Alaska 01/13/2017
Arizona 02/05/2013
Arkansas 09/23/2014
California 01/09/2013
Colorado 02/01/2013
Connecticut 01/05/2015
Delaware 06/17/2014
District of Columbia 06/17/2014
Florida 06/21/2012
Georgia 02/01/2012
Hawaii 04/17/2015
Idaho 11/04/2016
Illinois 06/27/2012
Indiana 06/03/2013
Iowa 06/17/2014
Kansas 02/27/2017
Kentucky 03/21/2014
Louisiana 03/04/2013
Maine 01/05/2015
Maryland 06/17/2014
Massachusetts 01/26/2012
Michigan 08/30/2011
Minnesota 07/06/2012
Mississippi 07/15/2016
Missouri 08/06/2015
Montana 08/11/2015
Nebraska 01/05/2015
Nevada 10/30/2014
New Hampshire 01/05/2015
New Jersey 03/05/2014
New Mexico 01/24/2017
New York 06/17/2014
North Carolina 01/09/2013
North Dakota 01/24/2017
Ohio 04/02/2013
Oklahoma 06/24/2013
Oregon 08/24/2015
Pennsylvania 05/29/2013
Rhode Island 01/05/2015
South Carolina 01/14/2013
South Dakota 06/05/2017
Tennessee 06/20/2012
Texas 07/23/2012
Utah 09/23/2014
Virginia 08/30/2013
Washington 04/09/2013
West Virginia 06/17/2014
Wisconsin 06/20/2016

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