at


Investment Adviser Firm Summary

SAGEWOOD ASSET MANAGEMENT LLC (CRD# 281548 / SEC# 801-106703)
Alternate Names: SAGEWOOD ASSET MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/25/2015

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 09/25/2015
Alaska 09/25/2015
Arizona 09/25/2015
Arkansas 09/25/2015
California 09/25/2015
Colorado 09/25/2015
Connecticut 09/25/2015
Delaware 09/25/2015
District of Columbia 09/25/2015
Florida 09/25/2015
Georgia 09/25/2015
Hawaii 09/25/2015
Idaho 09/25/2015
Illinois 11/23/2015
Indiana 09/25/2015
Iowa 09/25/2015
Kansas 09/25/2015
Kentucky 09/25/2015
Louisiana 09/25/2015
Maine 09/25/2015
Maryland 09/25/2015
Massachusetts 09/25/2015
Michigan 09/25/2015
Minnesota 09/25/2015
Mississippi 09/25/2015
Missouri 09/25/2015
Montana 09/25/2015
Nebraska 09/25/2015
Nevada 09/25/2015
New Hampshire 09/25/2015
New Jersey 10/13/2015
New Mexico 09/25/2015
New York 09/25/2015
North Carolina 09/25/2015
North Dakota 09/25/2015
Ohio 09/25/2015
Oklahoma 09/25/2015
Oregon 09/25/2015
Pennsylvania 09/25/2015
Puerto Rico 09/25/2015
Rhode Island 09/25/2015
South Carolina 09/25/2015
South Dakota 09/25/2015
Tennessee 09/25/2015
Texas 09/25/2015
Utah 09/25/2015
Vermont 09/25/2015
Virgin Islands 09/25/2015
Virginia 09/25/2015
Washington 09/25/2015
West Virginia 09/25/2015
Wisconsin 09/25/2015

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