at


Investment Adviser Firm Summary

CLAYTON ASSOCIATES HOLDINGS LLC (CRD# 163767 / SEC# 802-76394)
Alternate Names: BULLPEN VENTURES LLC , CLAYTON ASSOCIATES HOLDINGS LLC , CLAYTON ASSOCIATES, LLC , CLAYTON VENTURES III, LLC , CLAYTON VENTURES IV, LLC , CLAYTON VENTURES V, LLC , DIOKO HEALTH PARTNERS I LP , DIOKO HEALTH VENTURES GP LLC , FCA VENTURE GROUP LLC , FCA VENTURE GROUP, LLC , FCA VENTURE PARTNERS III LP , FCA VENTURE PARTNERS IV, LP , FCA VENTURE PARTNERS V, LP , FCA VENTURE PARTNERS VI QP, LP , FCA VENTURE PARTNERS VI, LP , FCA VI HOLDINGS, LLC , RESOLUTE VENTURE PARTNERS I LLC , RESOLUTE VENTURE PARTNERS I LP , RHC II, LLC , ROLLING HILLS CAPITAL, LLC , ROLLING HILLS VENTURES I LLC , ROLLING HILLS VENTURES I, LP , TRIPLE PLAY VENTURES LLC

This adviser FILES REPORT(S) as an Exempt Reporting Adviser with the jurisdiction(s) listed below.


REGISTRATION STATUS


Not Currently Registered


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.


Not Currently Notice Filed


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.


SEC / Jurisdiction REPORTING STATUS _ EFFECTIVE DATE
SEC ERA - Active 04/02/2012