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Investment Adviser Firm Summary

RIZE ADVISORS, LLC (CRD# 281185 / SEC# 801-107303)
Alternate Names: GATHERING , GATHERING, INC. , RIZE ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/18/2016

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
Alabama 01/04/2019
Alaska 10/15/2018
Arizona 01/04/2019
Arkansas 01/04/2019
California 02/02/2017
Colorado 01/04/2019
Connecticut 01/04/2019
Delaware 01/04/2019
District of Columbia 02/18/2016
Florida 01/04/2019
Georgia 02/02/2017
Hawaii 01/04/2019
Idaho 01/04/2019
Illinois 01/10/2019
Indiana 01/04/2019
Iowa 01/04/2019
Kansas 01/04/2019
Kentucky 01/04/2019
Louisiana 02/02/2017
Maine 01/04/2019
Maryland 01/04/2019
Massachusetts 01/04/2019
Michigan 01/04/2019
Minnesota 01/04/2019
Mississippi 01/04/2019
Missouri 01/04/2019
Montana 01/04/2019
Nebraska 01/04/2019
Nevada 01/04/2019
New Hampshire 02/02/2017
New Jersey 01/04/2019
New Mexico 01/04/2019
New York 02/02/2017
North Carolina 01/04/2019
North Dakota 01/04/2019
Ohio 01/04/2019
Oklahoma 01/04/2019
Oregon 01/04/2019
Pennsylvania 01/04/2019
Rhode Island 01/04/2019
South Carolina 01/04/2019
South Dakota 01/04/2019
Tennessee 01/04/2019
Texas 02/02/2017
Utah 01/04/2019
Vermont 01/04/2019
Virginia 02/02/2017
Washington 01/04/2019
West Virginia 01/04/2019
Wisconsin 01/04/2019
Wyoming 01/04/2019

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