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Investment Adviser Firm Summary

FIRST LIGHT ASSET MANAGEMENT, LLC (CRD# 168899 / SEC# 801-78528)
Alternate Names: FIRST LIGHT ASSET MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/20/2013

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
Arizona 12/12/2014
California 10/25/2013
District of Columbia 10/25/2013
Florida 03/31/2014
Georgia 03/12/2015
Illinois 08/21/2015
Iowa 07/23/2014
Maryland 10/25/2013
Minnesota 09/20/2013
New York 03/31/2014
South Dakota 04/05/2018
Texas 07/23/2014
Virginia 10/25/2013
Washington 02/25/2015
Wisconsin 10/25/2013

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