Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 6

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Form R-3
Rev. 03/13
(f)
Does applicant prepare or issue, not as part of any service described above, any charts, graphs formulas,
or other devices which clients may use to evaluate securities? If so, describe such services in detail and
state price, fee, or basis of compensation.
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
(g)
Does applicant furnish investment advice in any manner not described above? If so, describe such
services in detail and state basis of compensation.
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
____________________________________________________________________________________
17.
(a)
Is applicant or registrant engaged in any business or profession other than acting as investment adviser
with respect to securities?
___________________________________________________________________________________
If so, describe briefly each other business or profession other than acting as investment adviser with
respect to securities.
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
(b)
Is the principal business of applicant or registrant that of an investment adviser?
___________________________________________________________________________________
___________________________________________________________________________________
Does a substantial part of applicants or registrant’s investment advisory business consist of giving
(c)
continuous advice to clients as to the investment of funds on the basis of the individual needs of such
clients?
__________________________________________________________________________________
___________________________________________________________________________________
18.
Does applicant or registrant, or any person connected with applicant or registrant; have discretionary
authority to make any of the following determinations without the consent of the client before the
transaction is effected?

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