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Investment Adviser Firm Summary
FAYEZ SAROFIM & CO. ( CRD # 106584/SEC#:801-1725 )
FAYEZ SAROFIM & CO., SAROFIM FAYEZ & CO, FAYEZ SAROFIM & CO., LLC
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
SECApproved7/16/1958
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
Alabama12/13/2001
Alaska12/14/2001
Arizona12/13/2001
Arkansas12/17/2001
California11/26/1969
Colorado12/13/2001
Connecticut1/25/1998
Delaware3/31/2003
District of Columbia12/14/2001
Florida12/28/1982
Georgia9/21/1994
Hawaii12/13/2001
Idaho12/13/2001
Illinois12/23/1970
Indiana12/13/2001
Iowa12/17/2001
Kansas12/13/2001
Kentucky12/13/2001
Louisiana10/5/2001
Maine12/13/2001
Maryland12/13/2001
Massachusetts12/13/2001
Michigan12/13/2001
Minnesota1/10/2002
Mississippi12/13/2001
Missouri12/13/2001
Montana12/13/2001
Nebraska12/13/2001
Nevada12/13/2001
New Hampshire9/3/1991
New Jersey1/25/2002
New Mexico10/14/1994
New York1/9/1974
North Carolina12/13/2001
North Dakota12/13/2001
Ohio5/26/1999
Oklahoma1/1/1998
Oregon1/22/2001
Pennsylvania6/14/1988
Puerto Rico12/13/2001
Rhode Island12/13/2001
South Carolina12/13/2001
South Dakota12/17/2001
Tennessee12/17/2001
Texas6/18/1958
Utah12/17/2001
Vermont11/18/1994
Virgin Islands3/31/2011
Virginia4/17/1990
Washington12/13/2001
West Virginia12/17/2001
Wisconsin10/17/1995
Wyoming3/27/2024
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
B
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.