Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 7
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49Your Name _______________________________ CRD Number _______________
FORM ADV
Part 1A
Date _____________________________________ SEC 801-Number ____________
Page 7 of 16
(3) Approximately how many firms or other persons solicit advisory clients on your behalf?
0
1-5
6-10
11 – 50
51-250
251-500
501-1,000
More than 1,000
If more than 1,000, how many? ______ (round to the nearest 1,000)
In your response to Item 5.B(3), do not count any of your employees and count a firm only once – do not
count each of the firm’s employees that solicit on your behalf.
Clients
C. To approximately how many clients did you provide investment advisory services during your most-
recently completed fiscal year?
0
1-10
11-25
26-100
101-250
251 – 500
More than 500
If more than 500, how many? ______ (round to the nearest 500)
D. What types of clients do you have? Indicate the approximate percentage that each type of client comprises
of your total number of clients.
Up to
More Than
None
10%
11-25%
26-50% 51-75%
75%
(1) Individuals (other than
high net worth individuals)
(2) High net worth individuals
(3) Banking or thrift institutions
(4) Investment companies
(including mutual funds)
(5) Pension and profit sharing plans
(other than plan participants)
(6) Other pooled investment vehicles
(e.g., hedge funds)
(7) Charitable organizations
(8) Corporations or other businesses
not listed above
(9) State or municipal government entities
(10)Other: ___________________________
The category “individuals” includes trusts, estates, 401(k) plans and IRAs of individuals and their family
members, but does not include businesses organized as sole proprietorships.
Unless you provide advisory services pursuant to an investment advisory contract to an investment
company registered under the Investment Company Act of 1940, check “None” in response to Item 5.D(4).
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