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Investment Adviser Firm Summary
EP WEALTH ADVISORS ( CRD # 111147/SEC#:801-29358 )
ENRIGHT FINANCIAL CONSULTANTS INC, EP WEALTH ADVISORS, LLC., EP WEALTH ADVISORS, INC., EP WEALTH ADVISORS, ENRIGHT PREMIER WEALTH ADVISORS, INC.…
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
SECApproved4/16/1987
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
Alabama3/30/2021
Alaska3/30/2021
Arizona8/28/2008
Arkansas3/30/2018
California10/19/1988
Colorado8/28/2008
Connecticut12/10/2018
Delaware3/30/2020
District of Columbia3/30/2021
Florida8/29/2008
Georgia12/4/2014
Hawaii10/1/2007
Idaho9/16/2015
Illinois12/29/2014
Indiana3/30/2020
Iowa3/30/2020
Kansas6/1/2017
Kentucky3/30/2021
Louisiana4/22/2010
Maine3/30/2018
Maryland6/1/2017
Massachusetts3/30/2018
Michigan7/1/2015
Minnesota6/11/2018
Mississippi3/30/2021
Missouri3/30/2021
Montana10/23/2018
Nebraska3/30/2021
Nevada1/31/2007
New Hampshire3/30/2021
New Jersey6/14/2017
New Mexico1/24/2011
New York3/16/2009
North Carolina3/30/2018
North Dakota3/30/2021
Ohio3/30/2020
Oklahoma6/24/2013
Oregon3/25/2008
Pennsylvania11/18/2013
Rhode Island3/30/2021
South Carolina7/6/2018
South Dakota3/30/2021
Tennessee3/30/2020
Texas3/25/2008
Utah8/23/2010
Vermont3/30/2021
Virgin Islands3/30/2020
Virginia10/9/2013
Washington3/25/2008
West Virginia3/30/2021
Wisconsin3/30/2018
Wyoming3/30/2021
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.