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Investment Adviser Firm Summary

QPLUM LLC (CRD# 175479 / SEC# 801-107248)
Alternate Names: QPLUM LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/08/2016

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 07/02/2018
California 02/13/2017
Colorado 06/29/2018
Connecticut 05/03/2017
Florida 04/10/2017
Georgia 07/26/2017
Illinois 04/06/2017
Louisiana 03/26/2018
Maryland 09/21/2017
Massachusetts 04/04/2017
Michigan 03/26/2018
Missouri 03/26/2018
Nebraska 06/15/2017
Nevada 03/26/2018
New Hampshire 03/26/2018
New Jersey 02/12/2016
New York 09/21/2016
North Carolina 07/26/2017
Ohio 10/26/2017
Oregon 11/14/2017
Tennessee 11/13/2017
Texas 09/21/2016
Virginia 05/03/2017
Washington 07/26/2017

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