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Investment Adviser Firm Summary
FREESTONE CAPITAL MANAGEMENT, LLC ( CRD # 145711/SEC#:801-69073 )
FREESTONE, FREESTONE INVESTMENTS LLC (RELYING ADVISOR), FREESTONE CAPITAL MANAGEMENT, LLC, FREESTONE ASSET MANAGEMENT, FREESTONE ADVISORS 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
SECApproved4/25/2008
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
Alaska4/25/2008
Arizona4/25/2008
California4/25/2008
Colorado4/25/2008
Connecticut1/7/2022
District of Columbia1/7/2022
Florida11/5/2015
Georgia5/5/2022
Hawaii1/21/2020
Idaho4/25/2008
Illinois11/5/2015
Indiana11/18/2022
Louisiana3/27/2024
Maryland11/5/2015
Massachusetts11/5/2015
Michigan3/16/2016
Minnesota8/21/2018
Missouri2/10/2021
Montana4/25/2008
Nebraska3/27/2024
Nevada1/27/2015
New Hampshire3/27/2024
New Jersey1/11/2017
New Mexico11/5/2019
New York4/25/2008
North Carolina3/29/2019
Ohio1/29/2020
Oregon4/25/2008
Pennsylvania3/23/2018
South Carolina6/8/2018
South Dakota10/14/2020
Tennessee8/25/2020
Texas4/25/2008
Utah3/23/2018
Vermont10/14/2020
Virginia11/5/2018
Washington4/25/2008
Wisconsin6/14/2021
Wyoming2/10/2021
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.