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Investment Adviser Firm Summary
DORSEY, WRIGHT & ASSOCIATES, LLC ( CRD # 104925/SEC#:801-29045 )
DORSEY WRIGHT & ASSOCIATES, NASDAQ DORSEY WRIGHT, DORSEY, WRIGHT & ASSOCIATES, LLC, DORSEY, WRIGHT & ASSOCIATES, INC., DORSEY WRIGHT MONEY 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
SECApproved3/6/1987
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
Alabama7/28/2003
Alaska6/16/2008
Arizona4/19/2001
Arkansas2/6/2007
California10/13/1993
Connecticut3/31/1998
Delaware9/15/2008
District of Columbia3/14/2012
Florida1/3/1994
Georgia8/20/1993
Idaho6/6/2006
Illinois11/26/1996
Indiana10/17/2002
Iowa1/1/1999
Kansas10/11/2004
Kentucky4/16/2002
Louisiana10/4/2001
Maine6/6/2006
Maryland11/12/1996
Massachusetts1/29/1995
Michigan8/26/2003
Minnesota9/3/1996
Mississippi11/10/2011
Missouri6/13/1997
Montana3/27/2006
Nebraska7/21/2011
Nevada3/27/2006
New Hampshire2/22/2000
New Jersey9/16/1996
New Mexico7/10/2007
New York7/9/1993
North Carolina7/9/2001
North Dakota2/1/2007
Ohio6/1/2001
Oklahoma5/23/2008
Oregon4/16/2002
Pennsylvania1/27/1997
Rhode Island3/31/2017
South Carolina11/26/2007
South Dakota6/18/2010
Tennessee1/9/2002
Texas1/3/1994
Utah6/3/2003
Vermont7/29/2008
Virginia7/27/1987
Washington9/16/1996
West Virginia3/18/2002
Wisconsin2/2/2010
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.