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Investment Adviser Firm Summary
RITHOLTZ WEALTH MANAGEMENT ( CRD # 168652/SEC#:801-78479 )
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC, RITHOLTZ WEALTH MANAGEMENT, RITHOLTZ & CO., LIFTOFF, GOOD ADVICE
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
SECApproved9/16/2013
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
Alabama3/11/2019
Arizona1/20/2014
California1/20/2014
Colorado3/11/2019
Connecticut4/21/2016
Delaware1/8/2024
District of Columbia3/26/2014
Florida1/20/2014
Georgia3/10/2020
Hawaii3/7/2024
Idaho3/16/2023
Illinois4/26/2016
Indiana3/10/2020
Iowa3/7/2024
Kansas3/10/2022
Kentucky3/10/2022
Louisiana2/3/2016
Maine3/7/2024
Maryland3/26/2014
Massachusetts4/21/2016
Michigan2/3/2016
Minnesota3/11/2021
Missouri3/16/2023
Montana3/7/2024
Nevada3/10/2022
New Hampshire3/11/2021
New Jersey2/12/2014
New Mexico3/11/2021
New York9/16/2013
North Carolina2/26/2018
Ohio2/3/2016
Oklahoma3/11/2021
Oregon2/3/2016
Pennsylvania1/20/2014
Rhode Island3/10/2020
South Carolina2/26/2018
Tennessee3/10/2020
Texas1/20/2014
Utah3/7/2024
Vermont3/7/2024
Virginia1/20/2014
Washington1/20/2014
West Virginia1/28/2025
Wisconsin3/21/2019
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.