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Investment Adviser Firm Summary

FORMULA FOLIO INVESTMENTS, LLC (CRD# 153467 / SEC# 801-72780)
Alternate Names: FORMULA FOLIO INVESTMENTS , FORMULA FOLIO INVESTMENTS, LLC , FORMULAFOLIOS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/28/2011

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.


JURISDICTION EFFECTIVE DATE
Alabama 03/02/2015
Alaska 03/02/2015
Arizona 07/25/2014
Arkansas 03/02/2015
California 07/25/2014
Colorado 07/25/2014
Connecticut 07/25/2014
Delaware 03/02/2015
District of Columbia 03/02/2015
Florida 07/25/2014
Georgia 07/25/2014
Hawaii 07/25/2014
Idaho 10/15/2014
Illinois 07/30/2014
Indiana 07/25/2014
Iowa 07/25/2014
Kansas 03/02/2015
Kentucky 10/23/2014
Louisiana 07/25/2014
Maine 03/02/2015
Maryland 10/15/2014
Massachusetts 07/25/2014
Michigan 11/28/2011
Minnesota 10/15/2014
Mississippi 03/02/2015
Missouri 07/25/2014
Montana 03/02/2015
Nebraska 07/25/2014
Nevada 07/25/2014
New Hampshire 10/15/2014
New Jersey 08/13/2014
New Mexico 07/25/2014
New York 07/25/2014
North Carolina 07/25/2014
North Dakota 03/02/2015
Ohio 07/25/2014
Oklahoma 03/02/2015
Oregon 03/02/2015
Pennsylvania 07/25/2014
Puerto Rico 03/22/2017
Rhode Island 03/02/2015
South Carolina 07/31/2014
South Dakota 03/02/2015
Tennessee 07/25/2014
Texas 11/28/2011
Utah 07/25/2014
Vermont 03/02/2015
Virginia 07/25/2014
Washington 07/25/2014
West Virginia 03/02/2015
Wisconsin 07/25/2014

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