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Investment Adviser Firm Summary
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED ( CRD # 165482/SEC#:801-77343 )
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED
View latest Form ADV filedPart 2 Brochures

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/23/2012
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
Alabama1/11/2013
Alaska1/11/2013
Arizona1/11/2013
Arkansas1/11/2013
California11/23/2012
Colorado1/11/2013
Connecticut1/11/2013
Delaware11/23/2012
District of Columbia1/11/2013
Florida1/14/2013
Georgia1/11/2013
Hawaii1/11/2013
Idaho1/11/2013
Illinois1/14/2013
Indiana1/11/2013
Iowa1/11/2013
Kansas1/11/2013
Kentucky1/11/2013
Louisiana1/11/2013
Maine1/11/2013
Maryland11/23/2012
Massachusetts11/23/2012
Michigan1/11/2013
Minnesota1/11/2013
Mississippi1/11/2013
Missouri1/11/2013
Montana1/11/2013
Nebraska1/11/2013
Nevada1/11/2013
New Hampshire1/11/2013
New Jersey11/23/2012
New Mexico1/11/2013
New York11/23/2012
North Carolina1/11/2013
North Dakota1/11/2013
Ohio1/11/2013
Oklahoma1/11/2013
Oregon1/11/2013
Pennsylvania1/11/2013
Puerto Rico1/11/2013
Rhode Island1/11/2013
South Carolina1/11/2013
South Dakota1/11/2013
Tennessee1/11/2013
Texas1/11/2013
Utah1/11/2013
Vermont1/11/2013
Virgin Islands1/11/2013
Virginia1/11/2013
Washington1/11/2013
West Virginia1/11/2013
Wisconsin1/11/2013
Wyoming8/28/2017
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.