Ny Form Cadv - Commodity Investment Advisor Statement

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NY FORM CADV
** File No.
_____________
(1/87)
(for renewals
only)
STATE OF NEW YORK
Office of the Attorney General
BUREAU OF INVESTOR PROTECTION AND SECURITIES
COMMODITY INVESTMENT ADVISOR STATEMENT
(Section 359-e(14) Gen. Bus. Law)
PART I. BACKGROUND OF ADVISOR
1. Name of Advisor:
a. State full name of advisor:__________________________________
b. State trade names or publication names used by advisor:
__________________________________________________________
__________________________________________________________
2.
Principal place of business of advisor is at __________________________
_______________________________________________________________
_______________________________________________________________
(Zip)
. It has been at this location for _________________ years and [ ]
does [ ] does not share this space with any other entity. (If space shared, indicate
with whom on separate sheet). The telephone number at this location is ( )
___________________ which number [ ] is [ ] is not shared with any other entity. (If
shared, state details on separate sheet).
3. The advisor [ ] does [ ] does not maintain other offices or facilities. If it does, state
where.
4. Is advisor engaged in any business or profession, directly or indirectly, other than
that of a commodity investment advisor? [ ] yes; [ ] no. Describe the nature of each
such other business and state what the principal business of the commodity advisor
is on a separate sheet. If the principal business is other than that of a commodity
investment advisor, the balance of the questions need be answered only as they
relate to the commodity advisor portion of such business.
5. The advisor is a [ ] corporation; [ ] partnership; [ ] sole proprietorship; organized
under the laws of ________________ ___________________ on
(date)________________________________________________________________.
6. Has the commodity advisor acquired, merged, or otherwise succeeded to the

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