Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 22
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49FORM ADV
Your
Name: _________________________________
SEC File No.: ______________________
Schedule D
Date: _______________________________________
CRD No.: __________________________
Page 3 of 5
Use this Schedule D Page 3 to report details for items listed below. Report only new information or changes/updates to previously submitted
information. Do not repeat previously submitted information.
This is an
INITIAL or
AMENDED Schedule D Page 3.
SECTION 2.A(11) SEC Exemptive Order
If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information:
Application Number: 803-_______________
Date of order: _________________
(mm/dd/yyyy)
SECTION 4 Successions
Complete the following information if you are succeeding to the business of a currently-registered investment adviser. If you acquired more than
one firm in the succession you are reporting on this Form ADV, you must complete a separate Schedule D Page 3 for each acquired firm. See Part
1A Instruction 4.
Name of Acquired Firm _________________________________________________________
Acquired Firm’s SEC File No. (if any) 801-_____________________ Acquired Firm’s CRD Number (if any) ________________________
SECTION 5.I(2)
Wrap Fee Programs
If you are a portfolio manager for one or more wrap fee programs, list the name of each program and its sponsor. You must complete a separate
Schedule D Page 3 for each wrap fee program for which you are a portfolio manager.
Check only one box:
Add
Delete
Amend
Name of Wrap Fee Program ______________________________________________________________________________________________
Name of Sponsor ________________________________________________________________________________________________________
SECTION 6.B.
Description of Primary Business
Describe your primary business (not your investment advisory business): __________________________________________________________
_____________________________________________________________________________________________________________________
_____________________________________________________________________________________________________________________
_____________________________________________________________________________________________________________________
_____________________________________________________________________________________________________________________
_____________________________________________________________________________________________________________________
Investment Advisers and Broker-Dealers
SECTION 7.A.
Affiliated
You MUST complete the following information for each investment adviser with whom you are affiliated. You MAY complete the
following information for each broker-dealer with whom you are affiliated. You must complete a separate Schedule D Page 3 for
each listed affiliate.
A
Check only one box:
Add
Delete
mend
Legal Name of Affiliate: ________________________________________________________________
Primary Business Name of Affiliate: ___________________________________________________________
B
Affiliated is (check only one box):
Investment Adviser
roker-Dealer
Dual (Investment Adviser and Broker-Dealer)
Affiliated Adviser’s SEC File Number (if any) 801- __________________
Affiliate’s CRD Number (if any): ______________
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Adv (paper Version) - Uniform Application For Investment Adviser Registration And Report By Exempt Reporting Advisers
Legal
Form 48658 - Thoroughbred Mare Application For Foals Of 2011 - Indiana Horse Racing Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission Washington, Dc
Business
Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission
Legal
Related Categories
Parent category: Legal