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Investment Adviser Firm Summary

TRILOGY CAPITAL, INC. (CRD# 281597 / SEC# 801-106922)
Alternate Names: TRILOGY CAPITAL, INC. , TRILOGY FINANCIAL , TRILOGY INVESTMENT SERVICES, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/16/2015

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
Alaska 02/07/2018
Arizona 11/16/2015
California 11/16/2015
Colorado 11/16/2015
Connecticut 11/03/2017
Florida 11/16/2015
Georgia 07/14/2016
Hawaii 11/03/2017
Idaho 11/03/2017
Illinois 08/23/2016
Indiana 11/03/2017
Iowa 07/18/2017
Kansas 11/03/2017
Kentucky 02/07/2018
Louisiana 07/18/2017
Maine 11/03/2017
Maryland 11/03/2017
Massachusetts 11/16/2015
Michigan 01/03/2017
Minnesota 11/03/2017
Missouri 11/03/2017
Montana 11/03/2017
Nebraska 11/03/2017
Nevada 01/13/2016
New Hampshire 06/11/2016
New Jersey 11/17/2017
New Mexico 07/18/2017
New York 02/24/2016
North Carolina 11/03/2017
North Dakota 11/03/2017
Ohio 11/03/2017
Oklahoma 02/07/2018
Oregon 08/23/2016
Pennsylvania 10/12/2016
Rhode Island 02/07/2018
South Carolina 02/07/2018
South Dakota 02/07/2018
Tennessee 02/24/2016
Texas 11/16/2015
Utah 09/09/2016
Virginia 11/03/2017
Washington 04/11/2016
Wisconsin 11/03/2017

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