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Investment Adviser Firm Summary
WOLF GROUP CAPITAL ADVISORS ( CRD # 111647/SEC#:801-61501 )
RDL FINANCIAL, INC., WOLF GROUP CAPITAL ADVISORS, RDL FINANCIAL, LC

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved10/1/2002
District of ColumbiaTerminated12/4/2002
MarylandTerminated12/4/2002
VirginiaTerminated12/10/2002
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
California3/29/2011
District of Columbia10/1/2002
Florida5/20/2005
Louisiana5/19/2005
Maryland10/1/2002
New Hampshire11/3/2017
New York9/25/2020
North Carolina4/25/2013
Pennsylvania9/27/2023
Texas9/30/2003
Virginia10/1/2002
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
IA
Investment Adviser
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.