Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 12
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49Your Name _______________________________ CRD Number _______________
FORM ADV
Part 1A
Date _____________________________________ SEC 801-Number ____________
Page 12 of 16
Yes
No
D. Do you or any related person recommend brokers or dealers to clients?
E. Do you or any related person receive research or other products or services
other than execution from a broker-dealer or a third party in connection with
client securities transactions?
F. Do you or any related person, directly or indirectly, compensate any person for
client referrals?
In responding to this Item 8.F., consider in your response all cash and non-cash compensation that you or
a related person gave any person in exchange for client referrals, including any bonus that is based, at
least in part, on the number or amount of client referrals.
Item 9
Custody
In this Item, we ask you whether you or a related person has custody of client assets. If you are registering or
registered with the SEC and you deduct your advisory fees directly from your clients’ accounts but you do not
otherwise have custody of your clients’ funds or securities, you may answer “no” to Item 9A.(1) and 9A.(2).
A. Do you have custody of any advisory clients’:
Yes
No
(1) cash or bank accounts?
(2) securities?
B. Do any of your related persons have custody of any of your advisory clients’:
(1) cash or bank accounts?
(2) securities?
C. If you answered “yes” to either Item 9.B(1) or 9.B(2), is that related person a broker-dealer
registered under Section 15 of the Securities Exchange Act of 1934?
Item 10
Control Persons
In this Item, we ask you to identify every person that, directly or indirectly, controls you.
If you are submitting an initial application, you must complete Schedule A and Schedule B. Schedule A asks
for information about your direct owners and executive officers. Schedule B asks for information about your
indirect owners. If this is an amendment and you are updating information you reported on either Schedule A
or Schedule B (or both) that you filed with your initial application, you must complete Schedule C.
Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your
management or policies?
Yes
No
If yes, complete Section 10 of Schedule D.
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