--- title: "One adviser, multiple state notices: reading… | Altss Blog" description: "Bogart’s dated Form ADV separates SEC eligibility from state notice routing. That distinction changes how adviser counts and jurisdiction records should…" canonical: "https://altss.com/blog/bogart-sec-registration-state-notice-filings" --- [Altss Research](https://www.linkedin.com/company/altss) 3 min read UpdatedOct 19, 2026 Share # One adviser, multiple state notices: reading Bogart’s Form ADV Bogart’s dated Form ADV separates SEC eligibility from state notice routing. That distinction changes how adviser counts and jurisdiction records should be built. [Back to blog](https://altss.com/blog) Share [LinkedIn](https://www.linkedin.com/sharing/share-offsite/?url=)[X](https://x.com/intent/tweet?url=&text=One%20adviser%2C%20multiple%20state%20notices%3A%20reading%20Bogart%E2%80%99s%20Form%20ADV)Copy link Image: A conceptual copy-dispatch sculpture represents one Bogart Wealth adviser and California and Virginia as selected notice jurisdictions among others. Its date is the September 14, 2026 amendment; the core also marks an SEC-eligibility response. It does not depict current licensing status or completed delivery. Bogart Wealth’s Form ADV amendment stamped September 14, 2026 has California and Virginia checked in Item 2.C, the section for state notice filings and state reporting by exempt reporting advisers. The same document records a large-advisory-firm response under Item 2.A(1). Those selections perform different jobs within one named adviser’s disclosure; they do not establish two newly state-registered firms. For a distributor building an adviser universe, the useful unit is the adviser and its regulatory relationships. A notice jurisdiction belongs in that record as a recipient of filings, rather than as another adviser identity or evidence of a new registration. ## Item 2.C identifies where copies go The [selected Bogart filing](https://reports.adviserinfo.sec.gov/reports/ADV/283886/PDF/283886.pdf) explains the purpose directly. Under state laws, SEC-registered advisers may be required to provide state securities authorities with copies of their Form ADV and amendments. The form calls these notice filings. California and Virginia appear among the checked jurisdictions under that heading. The instructions printed beside the boxes distinguish adding recipients from stopping notices to existing recipients. An initial filing can select states to receive it and subsequent submissions; an amendment can add states or uncheck states that should stop receiving them. The selected amendment is therefore a snapshot of recipients, rather than evidence of when each notice relationship began. The September stamp dates the amendment. It does not establish the beginning of the California or Virginia notice relationship, a state registration’s effective date or Bogart’s current regulatory status. Those questions need separate status-history evidence. ## A common form serves different regulatory purposes The [SEC’s Form ADV instructions](https://www.sec.gov/files/formadv-instructions.pdf), in the SEC 1707 (07-24) edition used for this comparison, explain that advisers use the form for SEC registration, state registration, amendments and exempt-reporting-adviser reports. The presence of a Form ADV is therefore insufficient to classify the submission as a new registration. Part 1A is common to advisers registering with the SEC or state securities authorities. Part 1B asks additional state-required questions; the instructions say applicants for SEC registration and advisers registered only with the SEC do not have to complete it. Finding a Part 1A document is not a substitute for identifying which regulatory relationship its fields describe. For Bogart, Item 2.A(1) states the large-advisory-firm basis used in the form’s SEC-eligibility section. Item 2.C addresses recipients of the notice copies. The two fields should populate separate relationships in an adviser record. ## Keep the adviser and its jurisdiction records separate The filing identifies Bogart Wealth, LLC by CRD 283886 and gives SEC file number 801-107912. Those identifiers anchor the example to the named adviser. California and Virginia can then be recorded as selected notice jurisdictions attached to that identity, with the relationship type kept distinct from registration status. The [Bogart filing-and-asset-date analysis](https://altss.com/blog/form-adv-bogart-wealth-filing-asset-dates) separates a document’s submission date from the measurement date of a reported balance. A jurisdiction record adds a different time question: when did the relationship itself begin? Preserve September 14 as the amendment stamp, with any independently established relationship date recorded separately. The resulting record gives an allocator or distribution team four useful dimensions: the adviser, the jurisdiction, the relationship and its evidenced dates. Bogart’s selected boxes describe the adviser’s disclosed notice footprint; they do not create additional counterparties to approach. 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