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Investment Adviser Firm Summary

RIALTO CAPITAL MANAGEMENT, LLC (CRD# 159998 / SEC# 801-74178)
Alternate Names: RCCF GP II, LLC , RCCF GP III, LLC , RCCF GP IV, LLC , RCCF GP, LLC , RIALTO ABSOLUTE PARTNERSHIP GP, LLC , RIALTO CAPITAL ADVISORS OF NEW YORK, LLC , RIALTO CAPITAL ADVISORS, LLC , RIALTO CAPITAL MANAGEMENT LUXEMBOURG S À R L , RIALTO CAPITAL MANAGEMENT SPAIN SL , RIALTO CAPITAL MANAGEMENT, LLC , RIALTO CREDIT PARTNERSHIP GP, LLC , RIALTO MEZZ PARTNERS GP, LLC , RIALTO MORTGAGE FINANCE, LLC , RIALTO NETHERLANDS BV , RIALTO PARTNERS GP II, LLC , RIALTO PARTNERS GP III - DEBT, LLC , RIALTO PARTNERS GP III - PROPERTY, LLC , RIALTO PARTNERS GP, LLC , RSSF GP, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/30/2012

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
California 02/28/2014
Colorado 02/28/2014
Florida 03/30/2012
Georgia 03/30/2012
New York 03/30/2012
North Carolina 02/28/2014
Texas 09/27/2017

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