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Investment Adviser Firm Summary
LAZARD ASSET MANAGEMENT LLC ( CRD # 122836/SEC#:801-61701 )
LAZARD ASSET MANAGEMENT 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
SECApproved12/31/2002
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
Alabama12/31/2002
Alaska12/31/2002
Arizona12/31/2002
Arkansas12/31/2002
California12/31/2002
Colorado11/22/2010
Connecticut4/11/2003
Delaware7/11/2003
District of Columbia12/31/2002
Florida1/3/2003
Georgia12/31/2002
Hawaii12/31/2002
Idaho12/31/2002
Illinois1/17/2003
Indiana12/31/2002
Iowa12/31/2002
Kansas12/31/2002
Kentucky12/31/2002
Louisiana12/31/2002
Maine12/31/2002
Maryland12/31/2002
Massachusetts12/31/2002
Michigan12/31/2002
Minnesota1/1/2003
Mississippi12/31/2002
Missouri12/31/2002
Montana12/31/2002
Nebraska12/31/2002
Nevada12/31/2002
New Hampshire12/31/2002
New Jersey12/31/2002
New Mexico12/31/2002
New York12/31/2002
North Carolina12/31/2002
North Dakota12/31/2002
Ohio12/31/2002
Oklahoma12/31/2002
Oregon12/31/2002
Pennsylvania12/31/2002
Puerto Rico12/31/2002
Rhode Island12/31/2002
South Carolina12/31/2002
South Dakota12/31/2002
Tennessee12/31/2002
Texas1/2/2003
Utah12/31/2002
Vermont12/31/2002
Virginia12/31/2002
Washington12/31/2002
West Virginia1/6/2003
Wisconsin12/31/2002
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
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.