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Gcm Grosvenor L.P. Enterprise

Chicago, IL

AUM $95.5B
Clients 10
Locations 1
Owners 12
Private funds 322
Filing snapshot

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

Regulatory AUM
$95.5B
Clients
10
Fiscal-year advisory clients
Avg AUM per client
$9.55B
Regulatory AUM ÷ clients
HNW AUM share
0.1%
3 high-net-worth clients
Client mix
High-net-worth individuals 3 $135M AUM Investment companies 4 $313M AUM Pooled vehicles 375 $90.5B AUM Pension / profit-sharing plans 2 $9.12M AUM Corporations / businesses 10 $4.54B AUM
At a Glance
Firm type
Registered
Registered
Oct 17, 1997
CRD #
108654
Regulatory AUM
$95,489,020,756
Locations
1
Locations 1
Location Advisors City State
0 CHICAGO IL
CHICAGO, IL • 0 advisors
Registered Advisors 0

No advisors on record.

Owners & Control Persons 12
Name Title Ownership Schedule
SACKS, MICHAEL, JAY MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHAIRMAN NA A
MEISTER, PAUL, ALLAN MANAGING DIRECTOR AND VICE CHAIRMAN NA A
GCM, L.L.C. GENERAL PARTNER HOLDINGS, LLLP NA A
LEVIN, JONATHAN, REISIN MANAGING DIRECTOR, PRESIDENT NA A
MONTGOMERY, BURKE, JOHNSON MANAGING DIRECTOR, GENERAL COUNSEL NA A
FARAHNAKIAN, LILLY MANAGING DIRECTOR, GLOBAL CHIEF COMPLIANCE OFFICER NA A
POLLOCK, FREDERICK, EMMER MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER NA A
SELINGER, STACIE, DRIEBUSCH MANAGING DIRECTOR, HEAD OF INVESTOR RELATIONS NA A
LEVIN, ERIC, DAVID MANAGING DIRECTOR, CHIEF TECHNOLOGY OFFICER NA A
Bentley, Pamela, Lyn MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER NA A
FIXLER, CARA, ROMAINE EICKHOLT MANAGING DIRECTOR, CHIEF HUMAN RESOURCES OFFICER NA A
BUCHHEIT, KEVIN MANAGING DIRECTOR, HEAD OF STRATEGY AND CORPORATE DEVELOPMENT NA A
SACKS, MICHAEL, JAY
MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHAIRMAN • Ownership NA • Schedule A
MEISTER, PAUL, ALLAN
MANAGING DIRECTOR AND VICE CHAIRMAN • Ownership NA • Schedule A
GCM, L.L.C.
GENERAL PARTNER HOLDINGS, LLLP • Ownership NA • Schedule A
LEVIN, JONATHAN, REISIN
MANAGING DIRECTOR, PRESIDENT • Ownership NA • Schedule A
MONTGOMERY, BURKE, JOHNSON
MANAGING DIRECTOR, GENERAL COUNSEL • Ownership NA • Schedule A
FARAHNAKIAN, LILLY
MANAGING DIRECTOR, GLOBAL CHIEF COMPLIANCE OFFICER • Ownership NA • Schedule A
POLLOCK, FREDERICK, EMMER
MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER • Ownership NA • Schedule A
SELINGER, STACIE, DRIEBUSCH
MANAGING DIRECTOR, HEAD OF INVESTOR RELATIONS • Ownership NA • Schedule A
LEVIN, ERIC, DAVID
MANAGING DIRECTOR, CHIEF TECHNOLOGY OFFICER • Ownership NA • Schedule A
Bentley, Pamela, Lyn
MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER • Ownership NA • Schedule A
FIXLER, CARA, ROMAINE EICKHOLT
MANAGING DIRECTOR, CHIEF HUMAN RESOURCES OFFICER • Ownership NA • Schedule A
BUCHHEIT, KEVIN
MANAGING DIRECTOR, HEAD OF STRATEGY AND CORPORATE DEVELOPMENT • Ownership NA • Schedule A
Private Funds 322
Fund Type Gross assets
AAH DIVERSE HEDGE FUNDS, LTD 17704290
ABSOLUTE RETURN FUND, LTD. 19063934
AGR FUND, LTD. 415815551
ART & ARF PRIVATE EQUITY PARTNERSHIP, L.P. 6232365
BH2, LLC 7164460
BMG GCM PRIVATE MARKETS (DELAWARE), L.P.
BMG GCM PRIVATE MARKETS (CAYMAN), L.P. 142187283
BUCKEYE FUND, LTD. 139077909
CALIFORNIA MEZZANINE INVESTMENT FUND, L.P. 31357440
CANADA POST - GCM GROSVENOR INVESTMENTS, L.P. 47572812
CAPITAL LINK FUND I, LLC 39958770
CAPITAL LINK FUND II, LLC 24798943
CASCADE FUND, LTD. 76337675
CHARLES2 FUND, LTD. 205086049
CIC-FPRT ABSOLUTE RETURN PORTFOLIO, LTD. 62719112
CLEAR BOX INVESTMENTS, LTD. 23020785
COLUMBIA GCM GROSVENOR FUND, L.P. 191409142
CORKTOWN FUND, LTD. 279566307
CROWN INVESTMENT COMPANY, L.P. 107254608
CRPTF-GCM EMERGING MANAGER PARTNERSHIP L.P. 314885974
CRPTF-GCM MIDDLE-MARKET RE PARTNERSHIP, L.P. 250587314
CT CUSTOM STRATEGIC OPPORTUNITIES, LTD. 1261953
CUSTOM CO-INVESTMENT FUND 2022, L.P.
CUSTOM CO-INVESTMENT FEEDER FUND 2022, L.P. 237211767
CUSTOMIZED INFRASTRUCTURE STRATEGIES, L.P.
CUSTOMIZED INFRASTRUCTURE STRATEGIES (CAYMAN), L.P. 73029178
DES FUND, LTD. 525041472
DESC FUND, LTD. 253836016
EIL FUND, LTD 902129209
EL ABSOLUTE RETURN, LTD. 64807300
ELECTRICAL WORKERS INFRASTRUCTURE FUND, L.P.
ELECTRICAL WORKERS INFRASTRUCTURE FEEDER FUND, L.P. 151350673
EMPIRE GCM RE ANCHOR FUND, L.P. 700766041
EPI FEEDER FUND, LTD
ERS PRIVATE EQUITY EMERGING MANAGER FUND I, L.P. 20348007
ERS PRIVATE EQUITY EMERGING MANAGER FUND II, L.P. 43865966
FLIGHT FUND I, LLC 1833177369
GCM DIVERSIFIED INFRASTRUCTURE, L.P. 343550403
GCM FAT HUNTER FUND, L.P. 80478674
GCM GALAXY SPC - STAR AND CRESCENT SEGREGATED PORTFOLIO I 91623347
AAH DIVERSE HEDGE FUNDS, LTD
• 17704290
ABSOLUTE RETURN FUND, LTD.
• 19063934
AGR FUND, LTD.
• 415815551
ART & ARF PRIVATE EQUITY PARTNERSHIP, L.P.
• 6232365
BH2, LLC
• 7164460
BMG GCM PRIVATE MARKETS (DELAWARE), L.P.
BMG GCM PRIVATE MARKETS (CAYMAN), L.P.
• 142187283
BUCKEYE FUND, LTD.
• 139077909
CALIFORNIA MEZZANINE INVESTMENT FUND, L.P.
• 31357440
CANADA POST - GCM GROSVENOR INVESTMENTS, L.P.
• 47572812
CAPITAL LINK FUND I, LLC
• 39958770
CAPITAL LINK FUND II, LLC
• 24798943
CASCADE FUND, LTD.
• 76337675
CHARLES2 FUND, LTD.
• 205086049
CIC-FPRT ABSOLUTE RETURN PORTFOLIO, LTD.
• 62719112
CLEAR BOX INVESTMENTS, LTD.
• 23020785
COLUMBIA GCM GROSVENOR FUND, L.P.
• 191409142
CORKTOWN FUND, LTD.
• 279566307
CROWN INVESTMENT COMPANY, L.P.
• 107254608
CRPTF-GCM EMERGING MANAGER PARTNERSHIP L.P.
• 314885974
CRPTF-GCM MIDDLE-MARKET RE PARTNERSHIP, L.P.
• 250587314
CT CUSTOM STRATEGIC OPPORTUNITIES, LTD.
• 1261953
CUSTOM CO-INVESTMENT FUND 2022, L.P.
CUSTOM CO-INVESTMENT FEEDER FUND 2022, L.P.
• 237211767
CUSTOMIZED INFRASTRUCTURE STRATEGIES, L.P.
CUSTOMIZED INFRASTRUCTURE STRATEGIES (CAYMAN), L.P.
• 73029178
DES FUND, LTD.
• 525041472
DESC FUND, LTD.
• 253836016
EIL FUND, LTD
• 902129209
EL ABSOLUTE RETURN, LTD.
• 64807300
ELECTRICAL WORKERS INFRASTRUCTURE FUND, L.P.
ELECTRICAL WORKERS INFRASTRUCTURE FEEDER FUND, L.P.
• 151350673
EMPIRE GCM RE ANCHOR FUND, L.P.
• 700766041
EPI FEEDER FUND, LTD
ERS PRIVATE EQUITY EMERGING MANAGER FUND I, L.P.
• 20348007
ERS PRIVATE EQUITY EMERGING MANAGER FUND II, L.P.
• 43865966
FLIGHT FUND I, LLC
• 1833177369
GCM DIVERSIFIED INFRASTRUCTURE, L.P.
• 343550403
GCM FAT HUNTER FUND, L.P.
• 80478674
GCM GALAXY SPC - STAR AND CRESCENT SEGREGATED PORTFOLIO I
• 91623347

Showing 40 of 322 private funds.

Notice Filed 8
StateStatusDate
AL FILED 2026-03-27
DE FILED 2014-03-31
IL FILED 2014-04-01
MA FILED 2018-03-23
NY FILED 2022-03-31
NC FILED 2025-01-06
VA FILED 2024-03-28
TX FILED 2014-03-31
AL
2026-03-27
FILED
DE
2014-03-31
FILED
IL
2014-04-01
FILED
MA
2018-03-23
FILED
NY
2022-03-31
FILED
NC
2025-01-06
FILED
VA
2024-03-28
FILED
TX
2014-03-31
FILED
Registration
Firm Type
Registered
Status
APPROVED
Registered
Oct 17, 1997
SEC #
801-54965
CRD #
108654
SEC Region
CHRO
Umbrella
N

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Filed: 2026-06-30 Form Version: 10/2021
1Identifying Information
1F(5) Total number of offices, other than your Principal Office and place of business 2
1I Do you have one or more websites Yes
1M Are you registered with a foreign financial regulatory authority Yes
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
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 Yes
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

IL, United States

5AEmployees
Total Employees: 466
5B(1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research) 166
5B(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer 80
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 0
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 5
5CClients
5C(1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year 10
5C(2) Approximately what percentage of your clients are non-United States persons 51
5DClient Types & Assets Under Management
Client Type # Clients Regulatory AUM
(b) High net worth individuals 3 $135,332,535.00
(d) Investment companies 4 $313,183,822.00
(f) Pooled investment vehicles 375 $90,489,948,312.00
(g) Pension and profit sharing plans 2 $9,115,050.00
(i) State or municipal government entities 10 $4,541,441,037.00
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) Yes
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 $93,780,367,598.00 395
Non-Discretionary $1,708,653,158.00 12
Total 5F(2)(c) $95,489,020,756.00 407

AUM attributable to non-U.S. persons: $38,666,165,735.00

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 Yes
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 Yes
5G(7) Selection of other advisers Yes
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 Yes
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 Yes
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 No
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)) Yes
5L(1)(c) Do any of your advertisements include testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii)) No
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) Yes
6B(2) If yes, is this other business your primary business No
6B(3) Do you sell products or provide services other than investment advice to your advisory clients Yes
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) Yes
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) No
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 Yes
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) No
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) Yes
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
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 No
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 $30,830,787,683.00
9A(2b) Number of clients 129
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 No
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
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 20
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
11 Do any of the events below involve you or any of your supervised persons No
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 No
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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