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Investment Adviser Firm Summary

THE COLONY GROUP, LLC (CRD# 159289 / SEC# 801-72862)
Alternate Names: COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC , COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC , THE COLONY GROUP, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/07/2011

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
Arizona 12/07/2011
California 12/07/2011
Colorado 12/07/2011
Connecticut 12/07/2011
Delaware 12/07/2011
District of Columbia 12/07/2011
Florida 12/07/2011
Georgia 02/25/2014
Illinois 08/18/2014
Indiana 12/12/2011
Louisiana 07/27/2012
Maine 12/07/2011
Maryland 12/07/2011
Massachusetts 12/07/2011
Michigan 03/19/2013
Nebraska 04/02/2018
New Hampshire 12/07/2011
New Jersey 01/26/2012
New York 12/07/2011
North Carolina 12/07/2011
Ohio 03/19/2013
Pennsylvania 12/07/2011
Rhode Island 12/07/2011
South Carolina 03/19/2013
Tennessee 12/07/2011
Texas 12/07/2011
Vermont 12/07/2011
Virginia 12/07/2011

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