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Investment Adviser Firm Summary

ASTOR INVESTMENT MANAGEMENT LLC (CRD# 169679 / SEC# 801-78794)
Alternate Names: ASTOR ASSET MANAGEMENT LLC , ASTOR INVESTMENT MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/18/2013

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 11/18/2013
Arizona 11/18/2013
California 11/18/2013
Colorado 12/18/2014
Florida 11/18/2013
Georgia 11/18/2013
Idaho 11/03/2014
Illinois 11/20/2013
Indiana 11/18/2013
Iowa 11/03/2014
Kansas 05/30/2018
Kentucky 02/01/2016
Louisiana 11/18/2013
Maryland 08/31/2018
Massachusetts 11/18/2013
Michigan 11/18/2013
Minnesota 11/18/2013
Missouri 11/18/2013
Nevada 11/18/2013
New Jersey 11/21/2013
New Mexico 02/28/2018
New York 11/18/2013
North Carolina 11/18/2013
Ohio 11/18/2013
Oklahoma 11/18/2013
Oregon 02/28/2018
Pennsylvania 11/18/2013
South Carolina 11/18/2013
Tennessee 04/13/2017
Texas 11/18/2013
Virginia 11/18/2013
Washington 11/18/2013
West Virginia 11/18/2013
Wisconsin 11/18/2013

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