Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors
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64OMB APPROVAL
FORM PF (Paper Version)
OMB Number:
3235-0679
Reporting Form for Investment Advisers to
Expires:
March 31, 2018
Private Funds and Certain Commodity Pool
Estimated average burden
hours per response:
51.10
Operators and Commodity Trading Advisors
Form PF: General Instructions
Page 1
Read these instructions carefully before completing Form PF. Failure to follow these instructions,
properly complete Form PF, or pay all required fees may result in your Form PF being delayed or
rejected.
In these instructions and in Form PF, “you” means the private fund adviser completing or amending this
Form PF. If you are a “separately identifiable department or division” (SID) of a bank, “you” means the
SID rather than the bank (except as provided in Question 1(a)). Terms that appear in italics are defined in
the Glossary of Terms to Form PF.
1.
Who must complete and file a Form PF?
You must complete and file a Form PF, if:
You are registered or required to register with the SEC as an investment adviser;
A.
OR
You are registered or required to register with the CFTC as a CPO or CTA and you are
also registered or required to register with the SEC as an investment adviser;
AND
B.
You manage one or more private funds.
AND
C.
You and your related persons, collectively, had at least $150 million in private fund
assets under management as of the last day of your most recently completed fiscal year.
Many private fund advisers meeting these criteria will be required to complete only Section 1 of
Form PF and will need to file only on an annual basis. Large private fund advisers, however, will
be required to provide additional data, and large hedge fund advisers and large liquidity fund
advisers will need to file every quarter. See Instructions 3 and 9 below.
For purposes of determining whether you meet the reporting threshold, you are not required to
include the regulatory assets under management of any related person that is separately
operated. See Instruction 5 below for more detail.
If your principal office and place of business is outside the United States, for purposes of this
Form PF you may disregard any private fund that, during your last fiscal year, was not a United
States person, was not offered in the United States, and was not beneficially owned by any United
States person.
2.
I have a related person who is required to file Form PF. May I and my related person file a
single Form PF?
Related persons may (but are not required to) report on a single Form PF information with respect
to all such related persons and the private funds they advise. You must identify in your response
SEC 2048 (07-14)
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