Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 43
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49Schedule G of
SEC File Number:
Applicant:
Date:
Form ADV
Balance Sheet
801-
(Answers in Response to Form ADV Part II Item 14.)
1. Full name of applicant exactly as stated in Item 1A of Part I of Form ADV:
IRS Empl. Ident. No.:
Instructions
1.
The balance sheet must be:
A. Prepared in accordance with generally accepted accounting principles
B. Audited by an independent public accountant
C. Accompanied by a note stating the principles used to prepare it, the basis of included securities, and any other
explanations required for clarity.
2.
Securities included at cost should show their market or fair value parenthetically.
3.
Qualifications and any accompanying independent accountant’s report must conform to Article 2 of Regulation S-X
(17 CFR 210.2-01 et. seq.).
4.
Sole proprietor investment advisers:
A. Must show investment advisory business assets and liabilities separate from other business and personal assets and
liabilities
B. May aggregate other business and personal asset and liabilities unless there is an asset deficiency in the total
financial position.
Complete amended pages in full, circle amended items and file with execution page (page 1).
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