Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 36
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49OMB APPROVAL
OMB Number:
3235-0049
Expires:
February 28, 2011
FORM ADV
Estimated average burden
Uniform Application for Investment Adviser Registration
hours per response. . . . . . 4.07
Part II - Page 1
Name of Investment Adviser:
Address:
(Number and Street)
(City)
(State)
(Zip Code)
Area Code:
Telephone number:
(
)
This part of Form ADV gives information about the investment adviser and its business for the use of clients.
The information has not been approved or verified by any governmental authority.
Table of Contents
Item Number
Item
Page
1
Advisory Services and Fees ........................................................................................................................
2
2
Types of Clients .........................................................................................................................................
2
3
Types of Investments ..................................................................................................................................
3
4
Methods of Analysis, Sources of Information and Investment Strategies ..................................................
3
5
Education and Business Standards .............................................................................................................
4
6
Education and Business Background .........................................................................................................
4
7
Other Business Activities ...........................................................................................................................
4
8
Other Financial Industry Activities or Affiliations .....................................................................................
4
9
Participation or Interest in Client Transactions ..........................................................................................
5
10
Conditions for Managing Accounts ............................................................................................................
5
11
Review of Accounts ...................................................................................................................................
5
12
Investment or Brokerage Discretion ...........................................................................................................
6
13
Additional Compensation ...........................................................................................................................
6
14
Balance Sheet .............................................................................................................................................
6
Continuation Sheet .....................................................................................................................
Schedule F
Balance Sheet, if required ...........................................................................................................
Schedule G
(Schedules A, B, C, D, and E are included with Part I of this Form, for the use of regulatory bodies, and are not distributed to clients.)
Potential persons who are to respond to the collection of information contained in this form
are not required to respond unless the form displays a currently valid OMB control number.
SEC
1707 (01-08)
File 3 of 4
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