Form Cacl 280.151 - Facing Page For Application For A License Under The Capital Access Company Law Page 4
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10Any person (other than those persons listed above) that owns or controls, directly or
indirectly, the power to direct, or cause the direction of, the management and policies of the
applicant. If the “person” is a corporation or other business entity, please provide sufficient
information to identify the individual(s) in positions of management in, or who own or
control, the corporation or business entity. (E.g., the name and business address of the
officers, directors, partners, etc.) (See Corporations Code Sections 28035 and 28036):
___________________________________________________________________________
(Name)
(Business Address)
___________________________________________________________________________
(Name)
(Business Address)
5.
Provide the following information for the investment adviser(s) who will make
recommendations to the applicant with respect to the investment of funds.
a.
___________________________________________________________________________
(Name)
(Business Address)
___________________________________________________________________________
(Name)
(Business Address)
___________________________________________________________________________
(Name)
(Business Address)
b.
Provide the following information for each investment adviser:
1.
Is the investment adviser registered under the Investment Advisers Act of 1940?
[ ] Yes. The investment adviser’s SEC File Number: ___________________
[ ] No. Explain why and cite the appropriate statutory authority. (E.g., the investment
adviser is exempt from registration under Section 203(b)(1) of the Investment Adviser
Act of 1940.).
2.
Is the investment adviser licensed by the State of California?
[ ] Yes. The investment adviser’s license number: _________________________
[ ] No. Explain why and cite the appropriate statutory authority. (E.g., the investment
adviser is exempt from licensure under Section 25202 of the Corporate Securities Law of
1968.)
6.
a.
Furnish the File Number(s) of any other Department of Corporations’ license(s) currently
held by applicant or affiliates of the applicant: __________________________
b.
Furnish the license number(s) and description of any state or federal licenses held by the
applicant. (E.g., a California real estate broker’s license.): _______________________.
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