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Investment Adviser Firm Summary

TCP ASSET MANAGEMENT, LLC (CRD# 286037 / SEC# 801-108836)
Alternate Names: TCP ASSET MANAGEMENT, LLC , TRENDENCY CAPITAL PARTNERS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/03/2017

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 01/13/2017
Arizona 11/30/2017
Florida 01/19/2017
Georgia 08/21/2017
Illinois 08/21/2017
Indiana 01/13/2017
Kentucky 01/13/2017
Minnesota 04/12/2017
North Carolina 04/12/2017
Ohio 01/03/2017
Pennsylvania 08/21/2017
Tennessee 01/03/2017
Texas 01/13/2017
West Virginia 01/13/2017

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