Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser (Page 8 of 11) in pdf

Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser Page 8

Form ADV-W

Page 4

Client consent can be obtained through an actual consent, or can be inferred through the use of a

negative consent.

If you answered “yes” to Item 5A, list on Section 5 of Schedule W1 each person to whom you have assigned

any of your investment advisory contracts. You must complete a separate Schedule W1 for each person to

whom you have assigned any of your advisory contracts.

Item 6

Judgments and Liens

Are there any unsatisfied judgments or liens against you?

Yes

Item 7

Statement of Financial Condition

If you answered yes to Items 3, 4, or 6, you must complete Schedule W2, disclosing the nature and amount of your

assets and liabilities and your net worth as of the last day of the month prior to the filing of this Form ADV-W.

Item 8

Books and Records

This item requires you to list (i) the name and address of each person who has or will have custody or possession of

your books and records; and (ii) each location at which any of your books and records are or will be kept. You must

list this information on Schedule W1, and you must complete a separate Schedule W1 for each person who has or

will have custody of your books and records at each location. The instructions to Form ADV-W contain additional

information and examples to assist you in responding to Item 8.

NOTE: Section 204 of the Advisers Act, or similar state law, requires you to preserve your books and records

after you have withdrawn from registration.

Form Adv-W - Notice Of Withdrawal From Registration As An Investment Adviser Page 8