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Investment Adviser Firm Summary

BRONFMAN E.L. ROTHSCHILD, L.P. (CRD# 168095 / SEC# 801-78179)
Alternate Names: BAKER TILLY INVESTMENT ADVISORS, L.P. , BRONFMAN E.L. ROTHSCHILD, L.P. , BRONFMAN ROTHSCHILD , BRONFMAN ROTHSCHILD PLAN ADVISORS , BRONFMAN ROTHSCHILD WEALTH ADVISORS , HIGHLINE, A DIVISION OF BRONFMAN E.L. ROTHSCHILD

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/06/2013

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 07/21/2017
Arizona 05/06/2013
California 05/06/2013
Colorado 05/06/2013
Connecticut 07/21/2017
District of Columbia 09/21/2015
Florida 06/04/2013
Georgia 05/06/2013
Hawaii 03/31/2017
Illinois 05/10/2013
Indiana 07/21/2017
Iowa 03/31/2017
Kansas 07/21/2017
Maryland 09/21/2015
Massachusetts 09/21/2015
Michigan 05/06/2013
Minnesota 05/06/2013
Missouri 07/21/2017
Nevada 05/06/2013
New Jersey 04/24/2017
New York 05/31/2013
North Carolina 05/06/2013
Ohio 05/06/2013
Oregon 07/21/2017
Pennsylvania 09/21/2015
South Carolina 07/21/2017
South Dakota 05/06/2013
Tennessee 05/06/2013
Texas 05/06/2013
Virginia 05/06/2013
Washington 07/21/2017
West Virginia 07/21/2017
Wisconsin 05/06/2013

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