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Investment Adviser Firm Summary

CAPFINANCIAL PARTNERS, LLC (CRD# 175112 / SEC# 801-62193)
Alternate Names: 1776 ADVISOR GROUP , CAPFINANCIAL PARTNERS, LLC , CAPTRUST , CAPTRUST ADVISORS LLC , CAPTRUST FINANCIAL ADVISORS , CATAWBA CAPITAL MANAGEMENT INC , DAVIDSON & GARRARD INC , DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS , FREEDOM ONE , INTRUST FIDUCIARY GROUP , KNOX CAPITAL ADVISORS LLC , PARKER, CARLON & JOHNSON, INC. , STRATEGIC ADVISOR GROUP , THE JOHNSTON GROUP , WINDSOR FINANCIAL GROUP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/11/2003

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 09/07/2007
Alaska 03/30/2018
Arizona 09/11/2007
Arkansas 03/30/2009
California 05/04/2007
Colorado 04/21/2009
Connecticut 02/14/2008
Delaware 03/01/2012
District of Columbia 05/04/2007
Florida 07/28/2003
Georgia 07/31/2003
Hawaii 09/07/2011
Idaho 12/12/2017
Illinois 05/17/2007
Indiana 03/25/2008
Iowa 01/03/2011
Kansas 03/30/2009
Kentucky 05/02/2007
Louisiana 07/31/2003
Maine 12/15/2006
Maryland 05/02/2007
Massachusetts 01/08/2008
Michigan 05/04/2007
Minnesota 03/30/2009
Mississippi 07/31/2003
Missouri 03/30/2009
Montana 12/12/2017
Nebraska 03/01/2012
Nevada 03/29/2010
New Hampshire 05/02/2007
New Jersey 09/15/2003
New Mexico 11/11/2013
New York 07/31/2003
North Carolina 07/11/2003
North Dakota 04/05/2018
Ohio 05/04/2007
Oklahoma 03/01/2012
Oregon 04/05/2018
Pennsylvania 01/05/2007
Rhode Island 03/01/2012
South Carolina 07/31/2003
South Dakota 07/17/2017
Tennessee 05/07/2007
Texas 08/12/2003
Utah 03/01/2012
Vermont 05/02/2007
Virginia 07/31/2003
Washington 03/30/2009
West Virginia 11/11/2013
Wisconsin 03/25/2008
Wyoming 07/12/2017

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