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Investment Adviser Firm Summary

RICHARDSON GMP (USA) LIMITED (CRD# 166090 / SEC# 801-77951)
Alternate Names: RICHARDSON GMP (USA) LIMITED

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/12/2013

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 01/13/2016
Arizona 01/13/2016
California 06/20/2013
Colorado 10/20/2014
Delaware 01/13/2016
Florida 04/12/2013
Georgia 10/29/2014
Hawaii 01/13/2016
Illinois 10/22/2014
Indiana 03/31/2014
Massachusetts 10/20/2014
Michigan 03/31/2014
Minnesota 03/31/2015
Nebraska 10/29/2014
New Jersey 01/26/2016
New York 04/12/2013
North Carolina 01/13/2016
Oregon 10/20/2014
Pennsylvania 10/29/2014
Puerto Rico 03/31/2015
Texas 10/20/2014
Virginia 10/20/2014
Washington 01/13/2016
Wisconsin 03/21/2016

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