Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 4
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49Your Name _______________________________ CRD Number _______________
FORM ADV
Part 1A
Date _____________________________________ SEC 801-Number ____________
Page 4 of 16
Item 2
SEC Registration
Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this
Item 2 only if you are applying for SEC registration or submitting an annual updating amendment to your SEC
registration.
A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A(1) through
2.A(11), below. If you are submitting an annual updating amendment to your SEC registration and you
are no longer eligible to register with the SEC, check Item 2.A(12). You:
(1) have assets under management of $25 million (in U.S. dollars) or more;
See Part 1A Instruction 2.a. to determine whether you should check this box.
(2) have your principal office and place of business in Wyoming;
(3) have your principal office and place of business outside the United States;
(4) are an investment adviser (or sub-adviser) to an investment company registered under the
Investment Company Act of 1940;
See Part 1A Instruction 2.b. to determine whether you should check this box.
(5) have been designated as a nationally recognized statistical rating organization;
See Part 1A Instruction 2.c. to determine whether you should check this box.
(6) are a pension consultant that qualifies for the exemption in rule 203A-2(b);
See Part 1A Instruction 2.d. to determine whether you should check this box.
(7) are relying on rule 203A-2(c) because you are an investment adviser that controls, is controlled
by, or is under common control with, an investment adviser that is registered with the SEC, and
your principal office and place of business is the same as the registered adviser;
See Part 1A Instruction 2.e. to determine whether you should check this box. If you check this box,
complete Section 2.A(7) of Schedule D.
(8) are a newly formed adviser relying on rule 203A-2(d) because you expect to be eligible for SEC
registration within 120 days;
See Part 1A Instruction 2.f. to determine whether you should check this box. If you check this box,
complete Section 2.A(8) of Schedule D.
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