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Cerberus Capital Management, L.P. Enterprise

New York, NY

AUM $92.5B
Advisors 3
Locations 3
Owners 8
Private funds 252
Filing snapshot

From the firm’s latest Form ADV. Clients are Item 5C advisory clients.

Regulatory AUM
$92.5B
Investors
3
Across 3 offices
Client mix
Pooled vehicles 249 $85.6B AUM Other 8 $6.86B AUM
At a Glance
Firm type
Registered
Registered
Jan 21, 2010
CRD #
152175
Regulatory AUM
$92,499,746,649
Advisors
3
Locations
3
Locations 3
Location Advisors City State
1 NEW YORK NY
1 Fort Worth TX
1 Fort Worth TX
NEW YORK, NY • 1 advisor
Fort Worth, TX • 1 advisor
Fort Worth, TX • 1 advisor
Disclosures

This firm answered Yes to 2 Form ADV Item 11 disclosure questions. Each line is from the firm’s SEC filing on this profile.

Full Item 11 checklist is in the ADV form below. How to read Item 11

Owners & Control Persons 8
Name Title Ownership Schedule
CRAIG COURT GP, LLC GENERAL PARTNER E A
KANDEL, ANDREW, IRWIN CO-CHIEF COMPLIANCE OFFICER NA A
BRUNO, FRANK, WILLIAM CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER NA A
BENJAMIN, ALEXANDER, DAVID CHIEF OPERATING OFFICER AND CHIEF LEGAL OFFICER NA A
FRIEDMAN, ISRAEL GLOBAL GENERAL COUNSEL NA A
STEPHEN A. FEINBERG 2025 EQUITY LIMITED PARTNER TRUST C A
LEITTEN, ANDREW, HOWE CHIEF FINANCIAL OFFICER NA A
GOLD, ISABELLE, ROSE SENIOR MANAGING DIRECTOR NA A
CRAIG COURT GP, LLC
GENERAL PARTNER • Ownership E • Schedule A
KANDEL, ANDREW, IRWIN
CO-CHIEF COMPLIANCE OFFICER • Ownership NA • Schedule A
BRUNO, FRANK, WILLIAM
CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER • Ownership NA • Schedule A
BENJAMIN, ALEXANDER, DAVID
CHIEF OPERATING OFFICER AND CHIEF LEGAL OFFICER • Ownership NA • Schedule A
FRIEDMAN, ISRAEL
GLOBAL GENERAL COUNSEL • Ownership NA • Schedule A
STEPHEN A. FEINBERG 2025 EQUITY
LIMITED PARTNER TRUST • Ownership C • Schedule A
LEITTEN, ANDREW, HOWE
CHIEF FINANCIAL OFFICER • Ownership NA • Schedule A
GOLD, ISABELLE, ROSE
SENIOR MANAGING DIRECTOR • Ownership NA • Schedule A
Private Funds 252
Fund Type Gross assets
CAUCASUS CLEAN ENERGY I PF, L.P. 12320550
CAUCASUS CLEAN ENERGY I, L.P. 49664583
CERBERUS 1776 FUND, L.P. 166286001
CERBERUS 2112 LOAN OPPORTUNITIES FUND, L.P. 1812775717
CERBERUS 9990 LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS 9990 LEVERED LOAN OPPORTUNITIES FUND, L.P. 217962047
CERBERUS ACDC PARTNERS, L.P. 39886453
CERBERUS AD PARTNERS, L.P.
CERBERUS AD PARTNERS FEEDER FUND, LTD. 18435484
CERBERUS AD RESIDENTIAL CREDIT, L.P. 268454037
CERBERUS AEN PARTNERS, L.P. 8860586
CERBERUS ALL-WEATHER CREDIT OPPORTUNITIES FUND, L.P.
CERBERUS AWCO DOMESTIC FEEDER, L.P. 86257674
CERBERUS AMIST LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS AMIST LEVERED LOAN OPPORTUNITIES FUND, L.P. 386010606
CERBERUS AN MASTER FUND, L.P. 440002520
CERBERUS AOZ LOAN OPPORTUNITIES FUND, L.P. 191006708
CERBERUS ASSET BACKED OPPORTUNITIES FUND, L.P.
CABO RATED FEEDER, L.L.C. 300010000
CERBERUS AUS LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS AUS LEVERED LOAN OPPORTUNITIES FUND, LTD. 23653103
CERBERUS AUS SA LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS AUS SA LEVERED LOAN OPPORTUNITIES FUND, LTD. 9096067
CERBERUS C-1 LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS C-1 LEVERED LOAN OPPORTUNITIES FUND, L.P. 1331873047
CERBERUS CAL II PARTNERS, L.P. 337480171
CERBERUS CAL III PARTNERS, L.P. 355803122
CERBERUS CAL IV PARTNERS, L.P. 50460749
CERBERUS CAL STRATEGIC PARTNERS, L.P. 12598093
CERBERUS CANISTER PARTNERS, L.P. 39323951
CERBERUS CAVALIER PARTNERS, L.P. 4459837
CERBERUS CAVALIERS CREDIT MASTER FUND, L.P.
CERBERUS CAVALIERS CREDIT FUND, L.P. 116394084
CERBERUS CC DISLOCATION MASTER FUND, L.P.
CERBERUS CC DISLOCATION FEEDER FUND, L.P. 233509508
CERBERUS CDP IC PARTNERS, L.P.
CERBERUS CDP IC FEEDER FUND, L.P. 315111161
CERBERUS CENTERPIECE GNPL FUND II, L.P.
CERBERUS CENTERPIECE GNPL FEEDER II, L.P. 1738345383
CERBERUS CLOUD PARTNERS, L.P. 33299775
CAUCASUS CLEAN ENERGY I PF, L.P.
• 12320550
CAUCASUS CLEAN ENERGY I, L.P.
• 49664583
CERBERUS 1776 FUND, L.P.
• 166286001
CERBERUS 2112 LOAN OPPORTUNITIES FUND, L.P.
• 1812775717
CERBERUS 9990 LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS 9990 LEVERED LOAN OPPORTUNITIES FUND, L.P.
• 217962047
CERBERUS ACDC PARTNERS, L.P.
• 39886453
CERBERUS AD PARTNERS, L.P.
CERBERUS AD PARTNERS FEEDER FUND, LTD.
• 18435484
CERBERUS AD RESIDENTIAL CREDIT, L.P.
• 268454037
CERBERUS AEN PARTNERS, L.P.
• 8860586
CERBERUS ALL-WEATHER CREDIT OPPORTUNITIES FUND, L.P.
CERBERUS AWCO DOMESTIC FEEDER, L.P.
• 86257674
CERBERUS AMIST LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS AMIST LEVERED LOAN OPPORTUNITIES FUND, L.P.
• 386010606
CERBERUS AN MASTER FUND, L.P.
• 440002520
CERBERUS AOZ LOAN OPPORTUNITIES FUND, L.P.
• 191006708
CERBERUS ASSET BACKED OPPORTUNITIES FUND, L.P.
CABO RATED FEEDER, L.L.C.
• 300010000
CERBERUS AUS LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS AUS LEVERED LOAN OPPORTUNITIES FUND, LTD.
• 23653103
CERBERUS AUS SA LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS AUS SA LEVERED LOAN OPPORTUNITIES FUND, LTD.
• 9096067
CERBERUS C-1 LEVERED LOAN OPPORTUNITIES MASTER FUND, L.P.
CERBERUS C-1 LEVERED LOAN OPPORTUNITIES FUND, L.P.
• 1331873047
CERBERUS CAL II PARTNERS, L.P.
• 337480171
CERBERUS CAL III PARTNERS, L.P.
• 355803122
CERBERUS CAL IV PARTNERS, L.P.
• 50460749
CERBERUS CAL STRATEGIC PARTNERS, L.P.
• 12598093
CERBERUS CANISTER PARTNERS, L.P.
• 39323951
CERBERUS CAVALIER PARTNERS, L.P.
• 4459837
CERBERUS CAVALIERS CREDIT MASTER FUND, L.P.
CERBERUS CAVALIERS CREDIT FUND, L.P.
• 116394084
CERBERUS CC DISLOCATION MASTER FUND, L.P.
CERBERUS CC DISLOCATION FEEDER FUND, L.P.
• 233509508
CERBERUS CDP IC PARTNERS, L.P.
CERBERUS CDP IC FEEDER FUND, L.P.
• 315111161
CERBERUS CENTERPIECE GNPL FUND II, L.P.
CERBERUS CENTERPIECE GNPL FEEDER II, L.P.
• 1738345383
CERBERUS CLOUD PARTNERS, L.P.
• 33299775

Showing 40 of 252 private funds.

Notice Filed 10
StateStatusDate
ME FILED 2025-11-25
AZ FILED 2025-03-31
CA FILED 2010-01-21
CO FILED 2021-03-31
DE FILED 2011-03-31
IL FILED 2010-01-26
NY FILED 2010-01-21
VA FILED 2024-03-28
TX FILED 2022-02-10
FL FILED 2021-03-31
ME
2025-11-25
FILED
AZ
2025-03-31
FILED
CA
2010-01-21
FILED
CO
2021-03-31
FILED
DE
2011-03-31
FILED
IL
2010-01-26
FILED
NY
2010-01-21
FILED
VA
2024-03-28
FILED
TX
2022-02-10
FILED
FL
2021-03-31
FILED
Registration
Firm Type
Registered
Status
APPROVED
Registered
Jan 21, 2010
SEC #
801-70989
CRD #
152175
SEC Region
NYRO
Umbrella
Y

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Filed: 2026-08-26 Form Version: 10/2021
1Identifying Information
1F(5) Total number of offices, other than your Principal Office and place of business 10
1I Do you have one or more websites Yes
1M Are you registered with a foreign financial regulatory authority No
1N Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934 No
1O Did you have $1 billion or more in assets on the last day of your most recent fiscal year No
1P Legal Entity Identifier N77SNR5PJCXH58YZC794
2SEC Registration / Reporting

SEC Registration Basis (Item 2A)

2A(1) Are a large advisory firm that either: (a) has regulatory assets under management of $100 million (in U.S. dollars) or more, or (b) is SEC-registered and is submitting an annual updating amendment and has regulatory assets under management of $90 million (in U.S. dollars) or more Yes
2A(2) Are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million (in U.S. dollars) and you are either: (a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place of business, or (b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business No
2A(4) Have your principal office and place of business outside the United States No
2A(5) Are an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940 No
2A(6) Are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management No
2A(7) Are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2 No
2A(8) Are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser No
2A(9) Are a newly formed adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days No
2A(10) Are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d) No
2A(11) Are an Internet adviser relying on rule 203A-2(e) No
2A(12) Have received an SEC order exempting you from the prohibition against registration with the SEC No
2A(13) Are no longer eligible to remain registered with the SEC No
3Form of Organization

Organization Type

Limited Partnership

Fiscal Year End

DECEMBER

Organized Under Laws Of

DE, United States

5AEmployees
Total Employees: 936
5B(1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research) 216
5B(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer 0
5B(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives 3
5B(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you 0
5B(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency 0
5B(6) Approximately how many firms or other persons solicit advisory clients on your behalf 0
5CClients
5C(1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year 0
5C(2) Approximately what percentage of your clients are non-United States persons 54
5DClient Types & Assets Under Management
Client Type # Clients Regulatory AUM
(a) Individuals (other than high net worth) 0
(b) High net worth individuals 0
(c) Banking or thrift institutions 0
(d) Investment companies 0
(e) Business development companies 0
(f) Pooled investment vehicles 249 $85,643,544,147.00
(g) Pension and profit sharing plans 0
(h) Charitable organizations 0
(i) State or municipal government entities 0
(j) Other investment advisers 0
(k) Insurance companies 0
(l) Sovereign wealth funds 0
(m) Corporations or other businesses 0
(n) Other 8 $6,856,202,502.00
5ECompensation Arrangements
5E(1) A percentage of assets under your management Yes
5E(2) Hourly charges No
5E(3) Subscription fees (for a newsletter or periodical) No
5E(4) Fixed fees (other than subscription fees) No
5E(5) Commissions No
5E(6) Performance-based fees Yes
5E(7) Other No
5FRegulatory Assets Under Management
5F(1) Do you provide continuous and regular supervisory or management services to securities portfolios Yes
U.S. Dollar Amount Total Accounts
Discretionary $92,499,746,649.00 257
Non-Discretionary 0
Total 5F(2)(c) $92,499,746,649.00 257

AUM attributable to non-U.S. persons: $33,466,736,630.00

5GAdvisory Services Provided
5G(1) Financial planning services No
5G(2) Portfolio management for individuals and/or small businesses No
5G(3) Portfolio management for investment companies No
5G(4) Portfolio management for pooled investment vehicles (other than investment companies) Yes
5G(5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles and) Yes
5G(6) Pension consulting services No
5G(7) Selection of other advisers No
5G(8) Publication of periodicals or newsletters No
5G(9) Security ratings or pricing services No
5G(10) Market timing services No
5G(11) Educational seminars/workshops No
5G(12) Other No
5IWrap Fee Programs
5I(1) Sponsor the wrap fee program No
5J-KInvestment Types & Separately Managed Accounts
5J In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments No
5J(2) Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory assets under management? No
5K(1) Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed account clients) Yes
5K(2) Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise No
5K(3) Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise No
5K(4) After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten percent or more of this remaining amount of regulatory assets under management Yes
5LMarketing & Advertising
5L(1)(a) Do any of your advertisements include performance results Yes
5L(1)(b) Do any of your advertisements include a reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5)) No
5L(1)(c) Do any of your advertisements include testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii)) Yes
5L(1)(d) Do any of your advertisements include endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii)) Yes
5L(1)(e) Do any of your advertisements include third-party ratings Yes
5L(2) Do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in connection with the use of testimonials, endorsements, or third-party ratings Yes
5L(3) Do any of your advertisements include hypothetical performance Yes
5L(4) Do any of your advertisements include predecessor performance Yes
6Other Business Activities

You or any related person are registered as or qualified as any of the following (Item 6A)

6A(1) Broker-dealer (registered or unregistered) No
6A(2) Registered representative of a broker-dealer No
6A(3) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration) Yes
6A(4) Futures commission merchant No
6A(5) Real estate broker, dealer, or agent No
6A(6) Insurance broker or agent No
6A(7) Bank (including a separately identifiable department or division of a bank) No
6A(8) Trust company No
6A(9) Registered municipal advisor No
6A(10) Registered security-based swap dealer No
6A(11) Major security-based swap participant No
6A(12) Accountant or accounting firm No
6A(13) Lawyer or law firm No
6A(14) Other financial product salesperson No
6B(1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice) No
6B(3) Do you sell products or provide services other than investment advice to your advisory clients No
7Financial Industry Affiliations

Related persons that are (Item 7A)

7A(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered) No
7A(2) Other investment adviser (including financial planners) Yes
7A(3) Registered municipal advisor No
7A(4) Registered security-based swap dealer No
7A(5) Major security-based swap participant No
7A(6) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration) Yes
7A(7) Futures commission merchant No
7A(8) Banking or thrift institution No
7A(9) Trust company No
7A(10) Accountant or accounting firm No
7A(11) Lawyer or law firm No
7A(12) Insurance company or agency No
7A(13) Pension consultant No
7A(14) Real estate broker or dealer No
7A(15) Sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles No
7A(16) Sponsor, general partner, managing member (or equivalent) of pooled investment vehicles Yes
7B Are you an adviser to any private fund Yes
8Participation or Interest in Client Transactions
8A(1) Buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions) Yes
8A(2) Buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients Yes
8A(3) Recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A(1) or (2)) Yes
8B(1) As a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions) No
8B(2) Recommend purchase of securities to advisory clients for which you or any related person serves as underwriter, general or managing partner, or purchaser representative Yes
8B(3) Recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer) No
8C(1) Securities to be bought or sold for a client's account Yes
8C(2) Amount of securities to be bought or sold for a client's account Yes
8C(3) Broker or dealer to be used for a purchase or sale of securities for a client's account Yes
8C(4) Commission rates to be paid to a broker or dealer for a client's securities transactions Yes
8D If you answer "yes" to 8C.(3), are any of the brokers or dealers related persons No
8E Do you or any related person recommend brokers or dealers to clients No
8F If you answer "yes" to 8E, are any of the brokers or dealers related persons No
8G(1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions Yes
8G(2) If "yes" to G.(1), are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934 Yes
8H(1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals Yes
8H(2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients No
8I Do you or any related person, directly or indirectly, receive compensation from any person for client referrals No
9Custody
9A(1)(a) Cash or bank accounts Yes
9A(1)(b) Securities Yes
9A(2a) Dollar amount in custody $87,126,386,862.00
9A(2b) Number of clients 250
9B(1)(a) Cash or bank accounts Yes
9B(1)(b) Securities Yes
9C(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage No
9C(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools Yes
9C(3) An independent public accountant conducts an annual surprise examination of client funds and securities Yes
9C(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities No
9D(1) You act as a qualified custodian No
9D(2) Do you or your related persons act as qualified custodians for your clients in connection with advisory services you provide to clients your related persons act as qualified custodians No
9E Surprise examination date 2025-03
9F If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with advisory services you provide to clients 21
10Control Persons
10A Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies No
11Disclosure Information
This firm has one or more disciplinary disclosures on record.
11 Do any of the events below involve you or any of your supervised persons Yes
11A(1) Been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony No
11A(2) Been charged with any felony No
11B(1) Been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses No
11B(2) Been charged with a misdemeanor listed in 11.B(1) No
11C(1) Found you or any advisory affiliate to have made a false statement or omission No
11C(2) Found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes No
11C(3) Found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted No
11C(4) Entered an order against you or any advisory affiliate in connection with investment-related activity No
11C(5) Imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity No
11D(1) Ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical No
11D(2) Ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes No
11D(3) Ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted No
11D(4) In the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity No
11D(5) Ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity No
11E(1) Found you or any advisory affiliate to have made a false statement or omission No
11E(2) Found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC) No
11E(3) Found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted No
11E(4) Disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities No
11F Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended No
11G Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E No
11H(1)(a) The past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity No
11H(1)(b) Ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations No
11H(1)(c) Ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority Yes
11H(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1) No

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