| 10A |
Unnamed person controls management or policies |
Item 10 - Control Persons |
| 11 |
Events involving you or supervised persons |
Item 11 - Disclosure Information |
| 11A(1) |
Felony conviction or guilty / no-contest plea |
Item 11 - Disclosure Information |
| 11A(2) |
Felony charge |
Item 11 - Disclosure Information |
| 11B(1) |
Investment-related misdemeanor conviction or plea |
Item 11 - Disclosure Information |
| 11B(2) |
Misdemeanor charge (listed in 11B(1)) |
Item 11 - Disclosure Information |
| 11C(1) |
False statement or omission finding (SEC / CFTC) |
Item 11 - Disclosure Information |
| 11C(2) |
SEC / CFTC statute or regulation violation finding |
Item 11 - Disclosure Information |
| 11C(3) |
Cause of denied, suspended, revoked, or restricted authorization (SEC / CFTC) |
Item 11 - Disclosure Information |
| 11C(4) |
SEC / CFTC order in connection with investment-related activity |
Item 11 - Disclosure Information |
| 11C(5) |
Civil money penalty or cease-and-desist (SEC / CFTC) |
Item 11 - Disclosure Information |
| 11D(1) |
False statement, omission, or dishonest / unfair / unethical finding (other regulators) |
Item 11 - Disclosure Information |
| 11D(2) |
Investment-related regulation or statute violation (other regulators) |
Item 11 - Disclosure Information |
| 11D(3) |
Cause of denied, suspended, revoked, or restricted authorization (other regulators) |
Item 11 - Disclosure Information |
| 11D(4) |
Order in past ten years (other regulators) |
Item 11 - Disclosure Information |
| 11D(5) |
Registration or license denied, suspended, revoked, or restricted |
Item 11 - Disclosure Information |
| 11E(1) |
False statement or omission finding (SRO / commodities exchange) |
Item 11 - Disclosure Information |
| 11E(2) |
SRO / exchange rule violation (other than minor rule violation) |
Item 11 - Disclosure Information |
| 11E(3) |
Cause of denied, suspended, revoked, or restricted authorization (SRO) |
Item 11 - Disclosure Information |
| 11E(4) |
Expulsion, suspension, bar, or activity restriction (SRO) |
Item 11 - Disclosure Information |
| 11F |
Attorney, accountant, or federal contractor authorization revoked or suspended |
Item 11 - Disclosure Information |
| 11G |
Pending regulatory proceeding |
Item 11 - Disclosure Information |
| 11H(1)(a) |
Enjoined in past ten years (civil court) |
Item 11 - Disclosure Information |
| 11H(1)(b) |
Investment-related statute or regulation violation finding (civil) |
Item 11 - Disclosure Information |
| 11H(1)(c) |
Settlement dismissal of investment-related civil action |
Item 11 - Disclosure Information |
| 11H(2) |
Pending civil proceeding (Item 11H(1)) |
Item 11 - Disclosure Information |
| 1F(5) |
Number of other offices |
Item 1 - Identifying Information |
| 1I |
Do you have one or more websites |
Item 1 - Identifying Information |
| 1M |
Registered with a foreign financial regulatory authority |
Item 1 - Identifying Information |
| 1N |
Public reporting company under the Exchange Act |
Item 1 - Identifying Information |
| 1O |
$1 billion or more in assets at fiscal year-end |
Item 1 - Identifying Information |
| 1P |
Legal Entity Identifier |
Item 1 - Identifying Information |
| 2A(1) |
Large advisory firm (SEC size threshold) |
Item 2 - SEC Registration |
| 2A(10) |
Multi-state adviser (rule 203A-2(d)) |
Item 2 - SEC Registration |
| 2A(11) |
Internet adviser (rule 203A-2(e)) |
Item 2 - SEC Registration |
| 2A(12) |
SEC order exempting from prohibition against registration |
Item 2 - SEC Registration |
| 2A(13) |
No longer eligible to remain SEC-registered |
Item 2 - SEC Registration |
| 2A(2) |
Mid-sized advisory firm |
Item 2 - SEC Registration |
| 2A(4) |
Principal office outside the United States |
Item 2 - SEC Registration |
| 2A(5) |
Adviser to a registered investment company |
Item 2 - SEC Registration |
| 2A(6) |
Adviser to a business development company |
Item 2 - SEC Registration |
| 2A(7) |
Pension consultant (rule 203A-2) |
Item 2 - SEC Registration |
| 2A(8) |
Related adviser under rule 203A-2(b) |
Item 2 - SEC Registration |
| 2A(9) |
Newly formed adviser (rule 203A-2(c)) |
Item 2 - SEC Registration |
| 2B(1) |
Exempt reporting - venture capital fund adviser |
Item 2 - SEC Registration |
| 2B(2) |
Exempt reporting - private fund adviser under $150 million |
Item 2 - SEC Registration |
| 2B(3) |
Private fund adviser no longer eligible for 2B(2) |
Item 2 - SEC Registration |
| 3B |
Fiscal year end month |
Item 3 - Form of Organization |
| 5B(1) |
Employees who perform investment advisory functions |
Item 5 - Employees |
| 5B(2) |
Employees who are registered representatives of a broker-dealer |
Item 5 - Employees |
| 5B(3) |
Employees registered as investment adviser representatives |
Item 5 - Employees |
| 5C(1) |
Approximate number of advisory clients |
Item 5 - Clients |
| 5C(2) |
Percentage of clients who are non-United States persons |
Item 5 - Clients |
| 5E(1) |
Compensation as a percentage of assets under management |
Item 5 - Compensation |
| 5E(2) |
Compensation by hourly charges |
Item 5 - Compensation |
| 5E(3) |
Compensation by subscription fees |
Item 5 - Compensation |
| 5E(4) |
Compensation by fixed fees |
Item 5 - Compensation |
| 5E(5) |
Compensation by commissions |
Item 5 - Compensation |
| 5E(6) |
Compensation by performance-based fees |
Item 5 - Compensation |
| 5E(7) |
Other compensation arrangements |
Item 5 - Compensation |
| 5F(1) |
Continuous and regular supervisory or management services |
Item 5F - Regulatory Assets Under Management |
| 5F(2)(a) |
Discretionary regulatory assets under management |
Item 5F - Regulatory Assets Under Management |
| 5F(2)(b) |
Non-discretionary regulatory assets under management |
Item 5F - Regulatory Assets Under Management |
| 5F(2)(c) |
Total regulatory assets under management |
Item 5F - Regulatory Assets Under Management |
| 5F(2)(d) |
Discretionary total number of accounts |
Item 5F - Regulatory Assets Under Management |
| 5F(2)(e) |
Non-discretionary total number of accounts |
Item 5F - Regulatory Assets Under Management |
| 5F(2)(f) |
Total number of accounts |
Item 5F - Regulatory Assets Under Management |
| 5F(3) |
Regulatory AUM attributable to non-United States persons |
Item 5F - Regulatory Assets Under Management |
| 5G(1) |
Financial planning services |
Item 5G - Advisory Services |
| 5G(10) |
Market timing services |
Item 5G - Advisory Services |
| 5G(11) |
Educational seminars/workshops |
Item 5G - Advisory Services |
| 5G(12) |
Other advisory services |
Item 5G - Advisory Services |
| 5G(2) |
Portfolio management for individuals and/or small businesses |
Item 5G - Advisory Services |
| 5G(3) |
Portfolio management for investment companies |
Item 5G - Advisory Services |
| 5G(4) |
Portfolio management for pooled investment vehicles |
Item 5G - Advisory Services |
| 5G(5) |
Portfolio management for businesses or institutional clients |
Item 5G - Advisory Services |
| 5G(6) |
Pension consulting services |
Item 5G - Advisory Services |
| 5G(7) |
Selection of other advisers |
Item 5G - Advisory Services |
| 5G(8) |
Publication of periodicals or newsletters |
Item 5G - Advisory Services |
| 5G(9) |
Security ratings or pricing services |
Item 5G - Advisory Services |
| 5I(1) |
Sponsor of a wrap fee program |
Item 5 - Wrap Fee Programs |
| 5I(2)(a) |
Regulatory AUM as wrap fee program sponsor |
Item 5 - Wrap Fee Programs |
| 5I(2)(b) |
Regulatory AUM as wrap fee portfolio manager |
Item 5 - Wrap Fee Programs |
| 5I(2)(c) |
Regulatory AUM as sponsor and portfolio manager for the same wrap fee program |
Item 5 - Wrap Fee Programs |
| 5K(1) |
Separately managed account clients |
Item 5 - Separately Managed Accounts |
| 5K(2) |
Borrowing for separately managed account clients |
Item 5 - Separately Managed Accounts |
| 5K(3) |
Derivatives for separately managed account clients |
Item 5 - Separately Managed Accounts |
| 5K(4) |
Custodians holding 10% or more of SMA regulatory AUM |
Item 5 - Separately Managed Accounts |
| 5L(1)(a) |
Advertisements include performance results |
Item 5 - Advertising |
| 5L(1)(c) |
Advertisements include testimonials |
Item 5 - Advertising |
| 5L(1)(d) |
Advertisements include endorsements |
Item 5 - Advertising |
| 5L(3) |
Advertisements include hypothetical performance |
Item 5 - Advertising |
| 6A(1) |
Broker-dealer (registered or unregistered) |
Item 6 - Other Business Activities |
| 6A(2) |
Registered representative of a broker-dealer |
Item 6 - Other Business Activities |
| 6A(6) |
Insurance broker or agent |
Item 6 - Other Business Activities |
| 6A(7) |
Bank |
Item 6 - Other Business Activities |
| 7A(1) |
Broker-dealer, municipal securities dealer, or government securities broker or dealer |
Item 7 - Financial Industry Affiliations |
| 7A(12) |
Insurance company or agency |
Item 7 - Financial Industry Affiliations |
| 7A(2) |
Other investment adviser (including financial planners) |
Item 7 - Financial Industry Affiliations |
| 7A(8) |
Banking or thrift institution |
Item 7 - Financial Industry Affiliations |
| 8A(1) |
Principal transactions with advisory clients |
Item 8 - Participation or Interest in Client Transactions |
| 8C(1) |
Discretion to select securities for a client's account |
Item 8 - Brokerage Practices |
| 8C(2) |
Discretion to determine amount of securities for a client's account |
Item 8 - Brokerage Practices |
| 8C(3) |
Discretion to select the broker or dealer for a client's account |
Item 8 - Brokerage Practices |
| 8C(4) |
Discretion to determine commission rates for client transactions |
Item 8 - Brokerage Practices |
| 8E |
Recommend brokers or dealers to clients |
Item 8 - Brokerage Practices |
| 8G(1) |
Receive research or soft dollar benefits |
Item 8 - Soft Dollar Practices |
| 8H |
Compensate for client referrals |
Item 8 - Client Referrals |
| 8I |
Receive compensation for client referrals |
Item 8 - Client Referrals |
| 9A(1)(a) |
Custody of cash or bank accounts |
Item 9A - Custody |
| 9A(1)(b) |
Custody of securities |
Item 9A - Custody |
| 9C(1) |
Qualified custodian sends quarterly statements to pool investors |
Item 9 - Compliance |
| 9C(3) |
Annual surprise examination of client assets |
Item 9 - Compliance |
| 9D(1) |
Acting as qualified custodian |
Item 9 - Compliance |
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