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Investment Adviser Firm Summary
EATON VANCE MANAGEMENT ( CRD # 104859/SEC#:801-15930 )
EATON VANCE MANAGEMENT
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved2/20/1981
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.

JURISDICTIONEFFECTIVE DATE
Alabama8/8/2001
Alaska8/20/2002
Arizona8/24/1994
Arkansas8/8/2001
California6/16/1992
Colorado8/20/2002
Connecticut7/1/1997
Delaware8/20/2002
District of Columbia2/7/1998
Florida4/30/1979
Georgia10/14/1992
Hawaii10/26/1994
Idaho8/20/2002
Illinois4/2/1991
Indiana2/7/2001
Iowa8/13/2001
Kansas8/20/2002
Kentucky8/20/2002
Louisiana8/20/2002
Maine1/1/1998
Maryland9/10/1993
Massachusetts8/20/2002
Michigan11/7/1997
Minnesota11/3/1982
Mississippi8/20/2002
Missouri2/2/1994
Montana8/20/2002
Nebraska8/20/2002
Nevada8/8/2001
New Hampshire4/5/1982
New Jersey1/2/1974
New Mexico8/20/2002
New York11/19/1993
North Carolina1/3/2001
North Dakota4/5/2000
Ohio8/20/2002
Oklahoma8/22/2001
Oregon6/24/1993
Pennsylvania5/18/1994
Puerto Rico8/18/1999
Rhode Island1/1/1993
South Carolina8/8/2001
South Dakota8/20/2002
Tennessee8/20/2002
Texas1/22/1993
Utah8/20/2002
Vermont11/16/1994
Virgin Islands1/31/2019
Virginia10/19/1987
Washington8/8/2001
West Virginia8/20/2002
Wisconsin1/1/1956
Wyoming1/31/2019
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
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.