• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Investment Adviser Firm Summary
ELLEVEST ( CRD # 175476/SEC#:801-106683 )
ELLEVATE FINANCIAL, INC., ELLEVEST, INC., ELLEVEST

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved9/28/2015
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
Alabama1/12/2016
Alaska1/12/2016
Arizona1/12/2016
Arkansas1/12/2016
California9/28/2015
Colorado4/28/2017
Connecticut1/12/2016
Delaware1/12/2016
District of Columbia1/12/2016
Florida1/12/2016
Georgia1/12/2016
Hawaii1/19/2016
Idaho1/12/2016
Illinois10/28/2015
Indiana1/12/2016
Iowa1/12/2016
Kansas1/12/2016
Kentucky1/12/2016
Louisiana1/12/2016
Maine1/12/2016
Maryland1/12/2016
Massachusetts1/12/2016
Michigan1/12/2016
Minnesota1/12/2016
Mississippi1/12/2016
Missouri1/12/2016
Montana1/12/2016
Nebraska1/12/2016
Nevada1/12/2016
New Hampshire1/12/2016
New Jersey1/21/2016
New Mexico1/12/2016
New York9/28/2015
North Carolina1/12/2016
North Dakota1/12/2016
Ohio1/12/2016
Oklahoma1/12/2016
Oregon1/12/2016
Pennsylvania1/12/2016
Puerto Rico1/12/2016
Rhode Island1/12/2016
South Carolina1/12/2016
South Dakota1/12/2016
Tennessee1/12/2016
Texas1/12/2016
Utah1/12/2016
Vermont1/12/2016
Virginia1/12/2016
Washington1/12/2016
West Virginia1/12/2016
Wisconsin1/12/2016
Wyoming9/17/2017
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
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.