| Registration Status |
Description |
SEC |
State |
| Approved |
Adviser's registration is approved by
SEC / state(s). |
X |
X |
| 120-day Approval |
Adviser's registration is approved, subject
to the conditions of the 120-day rule (Rule 203A-
2(d)). |
X |
|
| *Conditional Restricted |
A registration status indicating that the firm
is allowed to work in a restricted fashion, such as requirements
for extra supervision. |
|
X |
| *Limited |
A registration status indicating the firm is operating
in a "limited" capacity, such as only being
able to sell mutual funds. |
|
X |
| *Suspended |
SEC / state(s) has suspended adviser's
registration for a specified period of time.
|
X |
X |
| Termination Requested |
A registration status prompted by an ADV-W filing. |
|
X |
| Failure to Renew |
A registration status prompted by an IA that did not pay
renewals fees. |
|
X |
| Terminated |
Adviser's registration terminated by filing a Form ADV-W. |
X |
X |
| *Canceled |
SEC / state(s) cancel adviser's registration pursuant to
cancellation order. |
X |
X |
| Revoked |
SEC / state(s) revokes adviser's registration. |
X |
X |