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_cpyin_xtg_deriv_vec_j_mergemergemergemergemergemergemergemerge_0000039ew_0000039ewdelete9ewdelete90ewne_nine91ewne_nine92ckwne_nine93ckwne_nine94ckwwo_zero09_lowwo_zero05_lowwo_zero09_lowwo_zero03_highwo_zero07_highwo_zero12_lowwo_zero12_lowwo_zero12_lowmergeo12_lowmergeo12_lowmergeo13_lowmergeo14_lowmergeo15_highmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowmergeo16_lowwo_zero17_lowwo_zero18_lowax_two_zero04ax_two_zero04ax_two_zero10ax_two_zero10merge_zero16mergemergemergemergeThe Central Registration Depositry (CRD) number.DwB@Q@Yearentral Registration Depositry (CRD) number.DwB@Q@The firm commits fraud in the next year number.DwB@Q@The firm committed a previously detected fraud.DwB@Q@The firm commits fraud this year.tected fraud.DwB@Q@The firm's primary business name.tected fraud.DwB@Q@The firm's primary business name.tected fraud.DwB@Q@The firm's primary business name.tected fraud.DwB@Q@match_crd primary business name.tected fraud.DwB@Q@ADV Form Year.ary business name.tected fraud.DwB@Q@Filing ID.ar.ary business name.tected fraud.DwB@Q@ADV Form Version. business name.tected fraud.DwB@Q@Date Submitted.. business name.tected fraud.DwB@Q@q1B Submitted.. business name.tected fraud.DwB@Q@q1C-Legaltted.. business name.tected fraud.DwB@Q@q1C-Businessd.. business name.tected fraud.DwB@Q@q1C-New Named.. business name.tected fraud.DwB@Q@q1DNew Named.. business name.tected fraud.DwB@Q@q1ENew Named.. business name.tected fraud.DwB@Q@q1F1-Street 1.. business name.tected fraud.DwB@Q@q1F1-Street 2.. business name.tected fraud.DwB@Q@q1F1-Cityt 2.. business name.tected fraud.DwB@Q@q1F1-State 2.. business name.tected fraud.DwB@Q@q1F1-Country.. business name.tected fraud.DwB@Q@q1F1-Postal.. business name.tected fraud.DwB@Q@q1F1-Private.. business name.tected fraud.DwB@Q@q1F2-M-Fate.. business name.tected fraud.DwB@Q@q1F2-Othere.. business name.tected fraud.DwB@Q@q1F2-Hourse.. business name.tected fraud.DwB@Q@q1F3Hourse.. business name.tected fraud.DwB@Q@q1F4Hourse.. business name.tected fraud.DwB@Q@q1G-Street 1.. business name.tected fraud.DwB@Q@q1G-Street 2.. business name.tected fraud.DwB@Q@q1G-Cityt 2.. business name.tected fraud.DwB@Q@q1G-State 2.. business name.tected fraud.DwB@Q@q1G-Country.. business name.tected fraud.DwB@Q@q1G-Postal.. business name.tected fraud.DwB@Q@q1G-Private.. business name.tected fraud.DwB@Q@q1IPrivate.. business name.tected fraud.DwB@Q@q1J-Namete.. business name.tected fraud.DwB@Q@q1J-Titlee.. business name.tected fraud.DwB@Q@q1J-Phonee.. business name.tected fraud.DwB@Q@q1J-Faxee.. business name.tected fraud.DwB@Q@q1J-Street 1.. business name.tected fraud.DwB@Q@q1J-Street 2.. business name.tected fraud.DwB@Q@q1J-Cityt 2.. business name.tected fraud.DwB@Q@q1J-State 2.. business name.tected fraud.DwB@Q@q1J-Country.. business name.tected fraud.DwB@Q@q1J-Postal.. business name.tected fraud.DwB@Q@q1J-Email.. business name.tected fraud.DwB@Q@qReg Contact-Name business name.tected fraud.DwB@Q@qReg Contact-Titlebusiness name.tected fraud.DwB@Q@qReg Contact-Phonebusiness name.tected fraud.DwB@Q@qReg Contact-Faxebusiness name.tected fraud.DwB@Q@qReg Contact-Street 1iness name.tected fraud.DwB@Q@qReg Contact-Street 2iness name.tected fraud.DwB@Q@qReg Contact-Cityt 2iness name.tected fraud.DwB@Q@qReg Contact-State 2iness name.tected fraud.DwB@Q@qReg Contact-Countryiness name.tected fraud.DwB@Q@qReg Contact-Postaliness name.tected fraud.DwB@Q@qReg Contact-Emailiness name.tected fraud.DwB@Q@q1K/1L Books and Recordsss name.tected fraud.DwB@Q@q1M1L Books and Recordsss name.tected fraud.DwB@Q@q1N1L Books and Recordsss name.tected fraud.DwB@Q@q1N-CIKooks and Recordsss name.tected fraud.DwB@Q@q1OCIKooks and Recordsss name.tected fraud.DwB@Q@q1PCIKooks and Recordsss name.tected fraud.DwB@Q@Succeeding to the business of a registered investment adviserDwB@Q@Date of Successionusiness of a registered investment adviserDwB@Q@q5A-Rangeccessionusiness of a registered investment adviserDwB@Q@q5A-Numbercessionusiness of a registered investment adviserDwB@Q@q5B1-Rangecessionusiness of a registered investment adviserDwB@Q@q5B1-Numberessionusiness of a registered investment adviserDwB@Q@q5B2-Rangeessionusiness of a registered investment adviserDwB@Q@q5B2-Numberessionusiness of a registered investment adviserDwB@Q@q5B3-Rangeessionusiness of a registered investment adviserDwB@Q@q5B3-Numberessionusiness of a registered investment adviserDwB@Q@Approx employees w/ state authorities for another adviser?erDwB@Q@Approx employees licensed agents of an insurance company or agency?@Q@q5B6x employees licensed agents of an insurance company or agency?@Q@q5C-Rangeloyees licensed agents of an insurance company or agency?@Q@q5C-Numberoyees licensed agents of an insurance company or agency?@Q@Approximately what percentage of your clients are non-United States persons?q5D1/5D1aely what percentage of your clients are non-United States persons?q5D2/5D1bely what percentage of your clients are non-United States persons?q5D3/5D1cely what percentage of your clients are non-United States persons?q5D4/5D1dely what percentage of your clients are non-United States persons?q5D1eD1dely what percentage of your clients are non-United States persons?q5D6/5D1fely what percentage of your clients are non-United States persons?q5D5/5D1gely what percentage of your clients are non-United States persons?q5D7/5D1hely what percentage of your clients are non-United States persons?q5D8/5D1iely what percentage of your clients are non-United States persons?q5D9/5D1jely what percentage of your clients are non-United States persons?q5D1kD1jely what percentage of your clients are non-United States persons?q5D1lD1jely what percentage of your clients are non-United States persons?q5D10/5D1mly what percentage of your clients are non-United States persons?q5D10-Other/5D1m-Otherentage of your clients are non-United States persons?% Individuals1m-Otherentage of your clients are non-United States persons?% High net worth individuals of your clients are non-United States persons?% Banking or thrift institutionsyour clients are non-United States persons?% Investment companiestitutionsyour clients are non-United States persons?% Business development companiesyour clients are non-United States persons?% Pooled investment vehicles (other than investment companies)ates persons?% Pension and profit sharing plans (but not the plan participants) persons?% Charitable organizationsg plans (but not the plan participants) persons?% Corporations or other businesses not listed above participants) persons?% State or municipal government entitiessted above participants) persons?% Other investment advisersent entitiessted above participants) persons?% Insurance companiesisersent entitiessted above participants) persons?% Othernce companiesisersent entitiessted above participants) persons?Type for % Otherniesisersent entitiessted above participants) persons?q5E1for % Otherniesisersent entitiessted above participants) persons?q5E2for % Otherniesisersent entitiessted above participants) persons?q5E3for % Otherniesisersent entitiessted above participants) persons?q5E4for % Otherniesisersent entitiessted above participants) persons?q5E5for % Otherniesisersent entitiessted above participants) persons?q5E6for % Otherniesisersent entitiessted above participants) persons?q5E7for % Otherniesisersent entitiessted above participants) persons?q5E7-OtherOtherniesisersent entitiessted above participants) persons?q5F1OtherOtherniesisersent entitiessted above participants) persons?Discretionary: U.S. Dollar Amounttitiessted above participants) persons?Non-Discretionary: U.S. Dollar Amountessted above participants) persons?Total: U.S. Dollar Amountllar Amountessted above participants) persons?Discretionary: Total Number of Accountssted above participants) persons?Non-Discretionary: Total Number of Accountsd above participants) persons?Total: Total Number of Accountsof Accountsd above participants) persons?q5G1: Total Number of Accountsof Accountsd above participants) persons?q5G2: Total Number of Accountsof Accountsd above participants) persons?q5G3: Total Number of Accountsof Accountsd above participants) persons?q5G4: Total Number of Accountsof Accountsd above participants) persons?q5G5: Total Number of Accountsof Accountsd above participants) persons?q5G6: Total Number of Accountsof Accountsd above participants) persons?q5G7: Total Number of Accountsof Accountsd above participants) persons?q5G8: Total Number of Accountsof Accountsd above participants) persons?q5G9: Total Number of Accountsof Accountsd above participants) persons?q5G10 Total Number of Accountsof Accountsd above participants) persons?q5G11 Total Number of Accountsof Accountsd above participants) persons?q5G12 Total Number of Accountsof Accountsd above participants) persons?Type for other for provided servicescountsd above participants) persons?To how many clients did you provide fin plan services during last fiscal year?Type of financial services for otherin plan services during last fiscal year?If you participate in a wrap fee program, do you sponsor the wrap fee programIf in a wrap fee prog, do you act as a portf manager for the wrap fee program?Did you indicate provide invest advice only with respect to limited investments?q6A1ou indicate provide invest advice only with respect to limited investments?q6A2ou indicate provide invest advice only with respect to limited investments?q6A3ou indicate provide invest advice only with respect to limited investments?q6A4ou indicate provide invest advice only with respect to limited investments?q6A5ou indicate provide invest advice only with respect to limited investments?q6A6ou indicate provide invest advice only with respect to limited investments?q6A7ou indicate provide invest advice only with respect to limited investments?q6A8ou indicate provide invest advice only with respect to limited investments?q6A9ou indicate provide invest advice only with respect to limited investments?q6A10u indicate provide invest advice only with respect to limited investments?q6A11u indicate provide invest advice only with respect to limited investments?q6A12u indicate provide invest advice only with respect to limited investments?q6A13u indicate provide invest advice only with respect to limited investments?q6A14u indicate provide invest advice only with respect to limited investments?q6A7/6A14-Other provide invest advice only with respect to limited investments?q6B16A14-Other provide invest advice only with respect to limited investments?q6B26A14-Other provide invest advice only with respect to limited investments?q6B36A14-Other provide invest advice only with respect to limited investments?q7A16A14-Other provide invest advice only with respect to limited investments?q7A26A14-Other provide invest advice only with respect to limited investments?q7A36A14-Other provide invest advice only with respect to limited investments?q7A46A14-Other provide invest advice only with respect to limited investments?q7A56A14-Other provide invest advice only with respect to limited investments?q7A66A14-Other provide invest advice only with respect to limited investments?q7A76A14-Other provide invest advice only with respect to limited investments?q7A86A14-Other provide invest advice only with respect to limited investments?q7A96A14-Other provide invest advice only with respect to limited investments?q7A10A14-Other provide invest advice only with respect to limited investments?q7A11A14-Other provide invest advice only with respect to limited investments?q7A12A14-Other provide invest advice only with respect to limited investments?q7A13A14-Other provide invest advice only with respect to limited investments?q7A14A14-Other provide invest advice only with respect to limited investments?q7A15A14-Other provide invest advice only with respect to limited investments?q7A16A14-Other provide invest advice only with respect to limited investments?q7B6A14-Other provide invest advice only with respect to limited investments?q8A1A14-Other provide invest advice only with respect to limited investments?q8A2A14-Other provide invest advice only with respect to limited investments?q8A3A14-Other provide invest advice only with respect to limited investments?q8B1A14-Other provide invest advice only with respect to limited investments?q8B2A14-Other provide invest advice only with respect to limited investments?q8B3A14-Other provide invest advice only with respect to limited investments?q8C1A14-Other provide invest advice only with respect to limited investments?q8C2A14-Other provide invest advice only with respect to limited investments?q8C3A14-Other provide invest advice only with respect to limited investments?q8C4A14-Other provide invest advice only with respect to limited investments?q8DA14-Other provide invest advice only with respect to limited investments?q8EA14-Other provide invest advice only with respect to limited investments?q8FA14-Other provide invest advice only with respect to limited investments?q8G1A14-Other provide invest advice only with respect to limited investments?q8G2A14-Other provide invest advice only with respect to limited investments?q8HA14-Other provide invest advice only with respect to limited investments?q8IA14-Other provide invest advice only with respect to limited investments?q9A1/9A1aOther provide invest advice only with respect to limited investments?q9A2/9A1bOther provide invest advice only with respect to limited investments?q9A2aA1bOther provide invest advice only with respect to limited investments?q9A2bA1bOther provide invest advice only with respect to limited investments?q9B1/9B1aOther provide invest advice only with respect to limited investments?q9B2/9B1bOther provide invest advice only with respect to limited investments?q9B2aB1bOther provide invest advice only with respect to limited investments?q9B2bB1bOther provide invest advice only with respect to limited investments?q9CbB1bOther provide invest advice only with respect to limited investments?q9C1B1bOther provide invest advice only with respect to limited investments?q9C2B1bOther provide invest advice only with respect to limited investments?q9C3B1bOther provide invest advice only with respect to limited investments?q9C4B1bOther provide invest advice only with respect to limited investments?q9D1B1bOther provide invest advice only with respect to limited investments?q9D2B1bOther provide invest advice only with respect to limited investments?q9EB1bOther provide invest advice only with respect to limited investments?q9FB1bOther provide invest advice only with respect to limited investments?q10/10AbOther provide invest advice only with respect to limited investments?q1110AbOther provide invest advice only with respect to limited investments?q11A1AbOther provide invest advice only with respect to limited investments?q11A2AbOther provide invest advice only with respect to limited investments?q11B1AbOther provide invest advice only with respect to limited investments?q11B2AbOther provide invest advice only with respect to limited investments?q11C1AbOther provide invest advice only with respect to limited investments?q11C2AbOther provide invest advice only with respect to limited investments?q11C3AbOther provide invest advice only with respect to limited investments?q11C4AbOther provide invest advice only with respect to limited investments?q11C5AbOther provide invest advice only with respect to limited investments?q11D1AbOther provide invest advice only with respect to limited investments?q11D2AbOther provide invest advice only with respect to limited investments?q11D3AbOther provide invest advice only with respect to limited investments?q11D4AbOther provide invest advice only with respect to limited investments?q11D5AbOther provide invest advice only with respect to limited investments?q11E1AbOther provide invest advice only with respect to limited investments?q11E2AbOther provide invest advice only with respect to limited investments?q11E3AbOther provide invest advice only with respect to limited investments?q11E4AbOther provide invest advice only with respect to limited investments?q11FAbOther provide invest advice only with respect to limited investments?q11GAbOther provide invest advice only with respect to limited investments?q11H1abOther provide invest advice only with respect to limited investments?q11H1bbOther provide invest advice only with respect to limited investments?q11H1cbOther provide invest advice only with respect to limited investments?q11H2bOther provide invest advice only with respect to limited investments?q12AbOther provide invest advice only with respect to limited investments?q12B1bOther provide invest advice only with respect to limited investments?q12B2bOther provide invest advice only with respect to limited investments?q12C1bOther provide invest advice only with respect to limited investments?q12C2bOther provide invest advice only with respect to limited investments?Execution Type provide invest advice only with respect to limited investments?SignatoryType provide invest advice only with respect to limited investments?Execution Date provide invest advice only with respect to limited investments?Titleion Date provide invest advice only with respect to limited investments?Large advisory (>$100M) invest advice only with respect to limited investments?Mid-size advisory (>$25M & <$100M)ice only with respect to limited investments?q2A3ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A4ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A5ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A6ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A7ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A8ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A9ize advisory (>$25M & <$100M)ice only with respect to limited investments?q2A10ze advisory (>$25M & <$100M)ice only with respect to limited investments?q2A11ze advisory (>$25M & <$100M)ice only with respect to limited investments?q2A12ze advisory (>$25M & <$100M)ice only with respect to limited investments?q2A13ze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-ALze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-AKze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-AZze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-ARze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-CAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-COze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-CTze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-DEze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-DCze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-FLze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-GAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-HIze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-IDze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-ILze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-INze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-IAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-KSze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-KYze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-LAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MEze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MDze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MIze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MNze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MSze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MOze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-MTze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NEze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NVze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NHze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NJze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NMze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NYze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NCze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-NDze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-OHze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-OKze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-ORze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-PAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-PRze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-RIze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-SCze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-SDze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-TNze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-TXze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-UTze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-VTze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-VAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-WAze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-WVze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-WIze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-GUze advisory (>$25M & <$100M)ice only with respect to limited investments?q2-VIze advisory (>$25M & <$100M)ice only with respect to limited investments?How are you organized5M & <$100M)ice only with respect to limited investments?q3A-Otheru organized5M & <$100M)ice only with respect to limited investments?In what month does your fiscal year end each yearespect to limited investments?q3Chat month does your fiscal year end each yearespect to limited investments?q3C-Statenth does your fiscal year end each yearespect to limited investments?q3C-Countryh does your fiscal year end each yearespect to limited investments?Monthuntryh does your fiscal year end each yearespect to limited investments?Dayhuntryh does your fiscal year end each yearespect to limited investments?Dateuntryh does your fiscal year end each yearespect to limited investments?newuntryh does your fiscal year end each yearespect to limited investments?AUM > $25Mh does your fiscal year end each yearespect to limited investments?Have your principal office and place of business in Wyoming?imited investments?Outside US?incipal office and place of business in Wyoming?imited investments?Sub-adviser?ncipal office and place of business in Wyoming?imited investments?Pension consultant office and place of business in Wyoming?imited investments?Related advisernt office and place of business in Wyoming?imited investments?Newly formed adviserffice and place of business in Wyoming?imited investments?Multi-state adviserffice and place of business in Wyoming?imited investments?Internet advisererffice and place of business in Wyoming?imited investments?Received an SEC orderfice and place of business in Wyoming?imited investments?No longer eligibleerfice and place of business in Wyoming?imited investments?Under the laws of what state or country are you organizedg?imited investments?Approx how many employees do you have? are you organizedg?imited investments?Approx how many of the employees perform investment advisory functionsestments?Approx how many of the employees registered reps of a broker dealer?sestments?Approx employees registered w/ state securities authorities invest adviser reps?Approx clients you provide invest adv during most recent year?est adviser reps?Approx how many firms or other persons solicit advisory clients on your behalf?Individualsany firms or other persons solicit advisory clients on your behalf?High net worth individualsher persons solicit advisory clients on your behalf?Banking or thrift institutionspersons solicit advisory clients on your behalf?Investment companiestitutionspersons solicit advisory clients on your behalf?Pooled investment vehicles (other than investment companies)ts on your behalf?Pension and profit sharing plans (but not the plan participants)n your behalf?Charitable organizationsg plans (but not the plan participants)n your behalf?Corporations or other businesses not listed above participants)n your behalf?State or municipal government entitiessted above participants)n your behalf?Other investment advisersent entitiessted above participants)n your behalf?Insurance companiesisersent entitiessted above participants)n your behalf?Othernce companiesisersent entitiessted above participants)n your behalf?Business development companiesntitiessted above participants)n your behalf?Compensation: A percentage of assets under your managementants)n your behalf?Compensation: Hourly charges assets under your managementants)n your behalf?Compensation: Subscription fees (for a newsletter or periodical)n your behalf?Compensation: Fixed fees (other than subscription fees)iodical)n your behalf?Compensation: Commissionsother than subscription fees)iodical)n your behalf?Compensation: Performance-based feessubscription fees)iodical)n your behalf?Compensation: Othermance-based feessubscription fees)iodical)n your behalf?Compensation: Other Type-based feessubscription fees)iodical)n your behalf?Provide continuous supervisory or management services to securities portfolios?q5f2a_newntinuous supervisory or management services to securities portfolios? q5f2b_newtinuous supervisory or management services to securities portfolios?The firm's reported assets under management.services to securities portfolios?Provide Financial planning servicesagement.services to securities portfolios?Provide Portfolio management for individuals and/or small businessesortfolios?Provide Portfolio management for investment companiesall businessesortfolios?Provide port manag for pooled invest vehicles (other than invest comp)tfolios?Provide port manag for business or institutional (other than small business)s?Provide Pension consulting servicesnstitutional (other than small business)s?Provide Selection of other advisers (including private fund managers)iness)s?Provide Publication of periodicals or newslettersvate fund managers)iness)s?Provide Security ratings or pricing servicestersvate fund managers)iness)s?Provide Market timing servicescing servicestersvate fund managers)iness)s?Provide Educational seminars/workshopsvicestersvate fund managers)iness)s?Provide Otherional seminars/workshopsvicestersvate fund managers)iness)s?Are a (1) broker-dealer (registered or unregistered)e fund managers)iness)s?Are a (2) registered representative of a broker-dealerfund managers)iness)s?Are a (3) commodity pool op or commodity trading advisornd managers)iness)s?Are a (4) futures commission merchantty trading advisornd managers)iness)s?Are a (5) real estate broker, dealer, or agentg advisornd managers)iness)s?Are a (6) insurance broker or agent, or agentg advisornd managers)iness)s?Are a (7) bank (including a sep identifiable department or division of a bank)Are a (8) trust companyg a sep identifiable department or division of a bank)Are a (9) registered municipal advisoriable department or division of a bank)Are a (10) registered security-based swap dealerrtment or division of a bank)Are a (11) major security-based swap participantrtment or division of a bank)Are a (12) accountant or accounting firmicipantrtment or division of a bank)Are a (13) lawyer or law firmnting firmicipantrtment or division of a bank)Are a (14) other financial product salesperson (specify): division of a bank)Related person is a (1) broker-deal, muni dealer, govt sect broker or dealer)Related person is a (2) other investment adviser (including financial planners)Related person is a (3) registered municipal advisorluding financial planners)Related person is a (4) registered security-based swap dealernancial planners)Related person is a (5) major security-based swap participantnancial planners)Related person is a (6) commodity pool operator or commodity trading advisors)Related person is a (7) futures commission merchantommodity trading advisors)Related person is a (8) banking or thrift institutionmodity trading advisors)Related person is a (9) trust companyift institutionmodity trading advisors)Related person is a (10) accountant or accounting firmodity trading advisors)Related person is a (11) lawyer or law firmnting firmodity trading advisors)Related person is a (12) insurance company or agencymodity trading advisors)Related person is a (13) pension consultantr agencymodity trading advisors)Related person is a (14) real estate broker or dealerodity trading advisors)Related person is a (15) sponsor/synd of ltd partners, exclud pooled invest vehRelated person is a (16) sponsor, gp, managing member of pool invest vehst vehRelated person is a (2) investment company (including mutual funds) vehst vehRelated person is a (4) future commis merch, cmdty pool op, or cmdty trad advisAre you an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8a1 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8a2 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8a3 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8b1 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8b2 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8b3 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8c1 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8c2 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8c3 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8c4 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8d an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8e an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8f an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8g1 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8g2 an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8h an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew8i an adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_1_5 adviser to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_11_50 viser to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_251_500 ser to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_501_1000 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_51_250 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_6_10 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5a_1001 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_0 1 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_1_10 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_11_25 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_26_100 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_101_250 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_251_500 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_501 00 er to any private fund?rch, cmdty pool op, or cmdty trad advisnew5c_total er to any private fund?rch, cmdty pool op, or cmdty trad advisaccounttal er to any private fund?rch, cmdty pool op, or cmdty trad advisgroupttal er to any private fund?rch, cmdty pool op, or cmdty trad advisAny disclosed past fraud.private fund?rch, cmdty pool op, or cmdty trad advisPercent employee ownership.ivate fund?rch, cmdty pool op, or cmdty trad advisThe log of the firm's reported assets under management.op, or cmdty trad advisThe assets under management per client at a firm.ment.op, or cmdty trad advisThe log of the assets under management per client.ent.op, or cmdty trad advisOver 50% aggregate employee ownership.per client.ent.op, or cmdty trad advisThe firm filed a regulatory disclosure reporting page (DRP).r cmdty trad advisThe firm filed a criminal or civil disclosure reporting page (DRP). trad advisFirm or related person compensate any person for client referrals. trad advisFirm or related person have in interest in transaction.referrals. trad advisFirm or related person receive research or benefits..referrals. trad advisItem 5b2elated person receive research or benefits..referrals. trad advisEmploys registerd representatives of a broker-dealer..referrals. trad advisInvestment advisers to a company registered under the Investment Company Act.sFirm or related person have custody of clients' cash or securities.pany Act.sCCO has no other stated role at the firm.ents' cash or securities.pany Act.sHFtops no other stated role at the firm.ents' cash or securities.pany Act.sFirm is primarily hedge fund clients.rm.ents' cash or securities.pany Act.sIndicator if first ADV in sample.ts.rm.ents' cash or securities.pany Act.sFirm's birth year.ADV in sample.ts.rm.ents' cash or securities.pany Act.sFirm's age. year.ADV in sample.ts.rm.ents' cash or securities.pany Act.sLog of the firm's age.in sample.ts.rm.ents' cash or securities.pany Act.sPercent client agents.in sample.ts.rm.ents' cash or securities.pany Act.sThe firm has affiliate, filed a regulatory disclosure reporting page (DRP)..sThe firm has affiliate, filed criminal or civil disclosure reporting page (DRP).The firm has affiliate that has a past instance of disclosed fraud. page (DRP).Predicted values from Table 4 Column 1 of Dimmock, Farizo, Gerken (2018) (DRP).Predicted values from Table 4 Column 2 of Dimmock, Farizo, Gerken (2018) (DRP).Predicted values from Table 4 Column 3 of Dimmock, Farizo, Gerken (2018) (DRP).Predicted values from Table 4 Column 4 of Dimmock, Farizo, Gerken (2018) (DRP).Predicted values from Table 4 Column 5 of Dimmock, Farizo, Gerken (2018) (DRP).[year_form\jdfa227\desktop\websitdestring;R@Drop__8Characters removed were:Vq2a12orm\jdfa227\desktop\websittostring;R@Drop__8converted to stringVq3c2orm\jdfa227\desktop\websittostring;R@Drop__8converted to stringVq5b3range\jdfa227\desktop\websittostring;R@Drop__8converted to stringVq5b2range\jdfa227\desktop\websittostring;R@Drop__8converted to stringVq5b1range\jdfa227\desktop\websittostring;R@Drop__8converted to stringVq5arange\jdfa227\desktop\websittostring;R@Drop__8converted to stringVq9cange\jdfa227\desktop\websittostring;R@Drop__8converted to string[monthge\jdfa227\desktop\websitdestring;R@Drop__8Characters removed were:[dayhge\jdfa227\desktop\websitdestring;R@Drop__8Characters removed were:[yearge\jdfa227\desktop\websitdestring;R@Drop__8Characters removed 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G. EDWARDS & SONS, INC.)DHx6M ) 8/(L X) @A. G. EDWARDS & SONS, INC.005 10:22:36 AMPIPER JAFFRAY & CO.eee,@02/200112/18/2001 03:40:23 PMA. G. EDWARDS & SONS, INC.NNNNNNX>TING 801-10334 86063N800 NICOLLET MALL/BDLC00002159142_2AA801-12716ONE NORTH JEFFERSON AVEILLE7@3MINNEAPOLISbX\@ҖKYUNITED STATEMNUSAHST. LOUISNMo55402 FridNMonday - Friday,@^MOUSAX\@ҖV?͊>e8:00 631036:08:NMonday - Friday?͊>e9:00 AM TO 5:00 PM@ string502-459-8:00 A.M. TO 4:30 P.M.459-7535612/303-6295=aKA@ string314-955-3000@@314-955-2726 @y B%A @@B%AO@KA A@yAYL.ANDREW HAYMCCGUE, ANN C.A @yA)u@NORTHEPRESIDENT EDTҖV?͊>e9:00 AM TO 5:00 PM@ string&C00061105AAR203-656-5900 r@203-502-459-4414ee@502-459-7535a @12701 TOWNEPAR WAY, SUITE 3034@B)@,@f?F@eeP?a @LOUISVILLEeeeeeeeeeeKYUITED STATEM=40243-2387AHALEIN@AISWE.COMgar/dNNNNYYeeNICERN/$@More than 1000 501-1000A NN10006-10NMore tMore than 1000@More than 1000@More than 1000@11-50%NNonMore than 500de51-75%p to 1Up to 10%o 1 A%neeNoneeee A A A A r@Up to 10%INV CLUBS, LLCS, FOUNDATIONS, UNINCORP. 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EDWARDS & SONS, INC.LCUp t51-1004526-5801-10334 86063N800 NICOLLET MALL/BDLC00002159142_2AA801-12716ONE NORTH JEFFERSON AVEILLE7@3MINNEAPOLISbX\@ҖKYUSAAMNUSAHST. LOUISNMo55402 FridNMonday - Friday,@^MOUSAX\@ҖV?͊>e8:00 631036:08:NMonday - Friday2yAIR0C0002/22/2011VICE PRESI502-459-8:00 A.M. TO 4:30 P.M.459-7535612/303-6295=aKA@ string314-955-3000@@314-955-2726 @y B%A @@B%AO@KA A@yAYL.ANDREW HAYMCCGUE, ANN C.A @yA)u@NORTHEO 6:00 PM EDT012yAIR0C0002/22/2011VICE PRESIDENTO-341-7801)@2yA=gI=AA01-64791801eee@Pga @ A R7?e4@B)@,@f?F@eeP?a @$ eeeeeeeeeeeeeLOTT, JEFFRYM=K17A-5AMbMedgar/dNNYYeeNICER11-N/$@More than 1000 501-1000A NN10001-5NMore tMore than 1000*More than 1000XMore than 1000(#11-50%NonMore than 500de51-75%p to 1Up to 10%o 1 A%eMore than 75% A A A A r@Up to 10%INV CLUBS, LLCS, FOUNDATIONS, UNINCORP. CHURCHES & SCHOOLS, LTD PARTNERSHIPS, SOLE PROPRIETORSADG#C1911108ALLID DENS GRPtg{z?>=wAH@ string'C00036110A02/200110/19/2000 02:9:43YNNYYNNAN ASSYNNYYNNEMENT LLC;?a>aɿYN'>IRIDYYNNYYNY"DISTRIBUTION" OR 12B-1 FEES FROM MUTUAL FUNDSVISORY CONSULTINGY#AzA6nAv?YYNYYYYNNYAGE MAY REFER CLIENTS TO ADVISORS THAT PERFORM MARKET TIMING SERVICES OR MAY ENTER INTO FEE-FOR-SERVICE ARRANGEMENTS WITHCLIENTSMore than 500 YYYNYNYNYMARKETING AGREEMENT WITH NEXSTAR FINANCIAL CORP.NYYNYYYNNYYYYYYYYYYYYYYYYYYYYYYNNYYYYNYNYNNYNYYNYNYNYNNNNYDomesticbbWENDY SCHAEFERLE)2yAIR0C0008/19/2008PRES12/20/2006CHIEF COMPLIANCE OFFICER@2yA=gI=AAYY12/09/2002ASSOCIATE VICE PRESIDENTYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYeCoYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYeCorporationECEMBERDELAWAREFEBRUARYDELAWAREƊFD F?DELAWARE uF?DELAWAREB@@@@@@+FE FGA|B@@B@@@@@?????)JEDC E6bE????????????????????????????????????;B@T@ Ak=. ????????K? DAN@HB=L=&=@`DA. G. EDWARDS & SONS, INC.)DHx6M ) 8/(L X) @A. G. EDWARDS & SONS, INC.007 10:00:34 AMPIPER JAFFRAY & CO.@p@05/200311/14/2003 04:44:10 PMA. G. EDWARDS & SONS, INC.14/2002PRESIDENT801-5729386063H800 NICOLLET MALL20LC00002159142_2AA801-12716ONE NORTH JEFFERSON AVEIN VIEWMINNEAPOLISbX\@ҖCAUSAAMNUSAHST. LOUISNMo55402 FridNMonday - Friday,@^MOUSAX\@ҖV?͊>e9:00A63103 5:8:NMonday - FridayH801-6378650-941-8:00 A.M. TO 4:30 P.M.625-9707612/303-6295=aKA@ string314-955-3000@@314-955-2726 @y B%A @@B%AO@KA A@yAYCHISTINE FLYMCCGUE, ANN C.A @yA)u@NORTHETO 5:00 P.M.'AH801-63784U103 CONTINNTAL PLACE /BDLC0000215914SUITE 801eee@Pga @ A R7?e4@B)@,@f?F@eeP?a @$ eeeeeeeeeeeeeLOTT, JEFFRYM=K17A-5AMbMedgar/dYNYYeeNICER51-N0$@More than 100011-5050A NN01-5NMore tMore than 1000'More than 1000XMore than 1000(#11-50NonMore than 500de51-75%one1011-25%one10 AeNoneeee A A A A r@Up to 10%INV CLUBS, LLCS, FOUNDATIONS, UNINCORP. CHURCHES & SCHOOLS, LTD PARTNERSHIPS, SOLE PROPRIETORSADG#C1911108ALLID DENS GRPtg{z?>=wAH@ string'C00036110A02/200110/19/2000 02:9:43YYNYNNNAN ASSNNNNNNYRELYING ON EXEMPTION LISTED IN ITEM 2A7'>IRIDY9AYNNYYNY"DISTRIBUTION" OR 12B-1 FEES FROM MUTUAL FUNDSLYING ON EXEMPTIOYЯPA(APl(=wYYYYYYYYYYYYFEBRUARYDELAWAREYYYYYYuF`D F?DELAWARE \zF?DELAWARE@FE FGA|BA@@@@@@?????uEEwE????????????????????????????????????R8KB@W@l Ar=;????????e DAP@HBߖ=o`=n=@DA. G. EDWARDS & SONS, INC.)DHx6M ) 8/(L X) @A. G. EDWARDS & SONS, INC.008 10:04:19 AMPIPER JAFFRAY & CO.eee8XA05/200312/17/2004 12:32:02 PMA. G. EDWARDS & SONS, INC.@ ףp= 0@203-801-5729386063N800 NICOLLET MALL/BDLC00002159142_2AA801-12716ONE NORTH JEFFERSON AVEIN VIEWMINNEAPOLISbX\@ҖCAUNITED STATEMNUSAHST. LOUISNMo55402 FridNMonday - Friday,@^MOUSAX\@ҖV?͊>e9:00A63103 5:8:NMonday - FridayNNNNNNNNNNNNNNNNNNNNNNNNNNDomestic650-625-8:00 A.M. TO 4:30 P.M.625-9707612/303-6295=aKA@ string314-955-3000@@314-955-2726 @y B%A @@B%AO@KA A@yAYSTPHEN G. SYMCCGUE, ANN C.A @yA)u@NORTHETO 5:00 P.M.NNNy - FNNNNNNNNNNNNNNNNNNNNNNNNNNDomesticROBERT KLEFSAS.M. -5:00 P.MOnڅ@801eee@Pga @ A R7?e4@B)@,@f?F@eeP?a @$ eeeeeeeeeeeeeLOTT, JEFFRYM=K17A-5AMbMedgar/dYNNNYYeeNICERN/$@More than 100011-5050A NN051-5=NMore tMore than 1000'More than 1000XMore than 1000(#11-50NNonMore than 500DBeMore than 75%Up to 10%10 ANoneeNoneeee A A A A r@Up to 10%INV CLUBS, LLCS, FOUNDATIONS, UNINCORP. CHURCHES & SCHOOLS, LTD PARTNERSHIPS, SOLE PROPRIETORSADGUp to25%Up to25%Up to25%Nne GRNnetNne{Nne>=wAH@ string'C00036110A02/200110/19/2000 02:9:43YYNYNNYTHIRD PNNNNNNYRELYING ON EXEMPTION LISTED IN ITEM 2A7'>IRIDYD:AYNNYYNY"DISTRIBUTION" OR 12B-1 FEES FROM MUTUAL FUNDSLYING ON EXEMPTIOY @AASAW9JYYNYYYYNNYAGE MAY REFER CLIENTS TO ADVISORS THAT PERFORM MARKET TIMING SERVICES OR MAY ENTER INTO FEE-FOR-SERVICE ARRANGEMENTS WITHCLIENTSMore than 500YYYNYNYNYMARKETING AGREEMENT WITH NEXSTAR FINANCIAL CORP.NYYNYYYNNYNYYYYYYYYYYYYYYYYYYYYNNYYYYNYNYYYYNYYNYNYNYNNNNYDomesticbbWENDY SCHAEFERLE)2yAIR0C0005/01/2012CCO01/10/2008CHIEF COMPLIANCE OFFICER@2yA=gI=AAY12/17/2004VPYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYeCoYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYYeCorporationECEMBERDELAWARECaliforniainaUNFEBRUARYDELAWARETF`D F?DELAWARE LF?DELAWARE@FE F"GAB@@@@@@@?????xETElF???????????????????????????????????xB@Y@gA06 >????????e DAR@HBP=%==@DA. G. EDWARDS & SONS, INC.)DHx6M ) 8/(L X) @A. G. EDWARDS & SONS, INC.001 02:46:20 PMTHE PRUDENTIAL INSURANC< A02/200512/20/2005 05:05:59 PMA. G. EDWARDS & SONS, INC.801-72849M812484751 BROAD STREETH FLOOR00002159142_2AA801-12716ONE NORTH JEFFERSON AVERKDy7@3NEWARKbX\@ҖNYUNITED STATENJUSAHST. LOUISNMo07102-3777NMonday - Friday,@^MOUSAX\@ҖV?͊>e8 AM 63103e9:NMonday - FridayAH212-872-8:00 A.M. TO 4:30 P.M.282-2376973-802-8776=aKA@ string314-955-3000@@314-955-2726 @y B%A @@B%AO@KA A@yANSEN BOWDENYGEOGE C. HANLEYA @yA)u@NORTHECOMPLIANCE ANAYST(=w'AH@@ string'C00036110A02/20011212-698-3278ee@Pga @1251 AVENUE OFTHE AMERICAS4@B)@,@f?F@eeP?a @NEW YORKeeeeeeeeeeeeNYUITED STATEM=10020LISETTE.LUGO@S.NATIXIS.COMNNNNYNeeNICERN/$@More than 1000'51-250A A NN than 10000N1-104More than 1000'More than 1000XMore than 1000(#11-50%NNonMore than 5004eMore than 75%Up to 10% A ANoneeNoneeee A A A A r@Up to 10%INV CLUBS, LLCS, FOUNDATIONS, UNINCORP. CHURCHES & SCHOOLS, LTD PARTNERSHIPS, SOLE PROPRIETORSADGNone#CNone108NoneD DNne GRNnetNne{Nne>=wAH@ string'C00036110A02/200110/19/2000 02:9:43YNNYNNNAN ASSYNNNNNNEMENT LLC;?a>aɿYN'>IRIDYȅeAYNNYYNY"DISTRIBUTION" OR 12B-1 FEES FROM MUTUAL FUNDS0 |{ۿ????????e DABU@pB]\=}=jм=@DA. G. EDWARDS & SONS, INC.)DHx6M ) 8/(L X) @A. G. EDWARDS & SONS, INC.002 11:05:15 AMTHE PRUDENTIAL INSURANCpA02/200512/18/2006 02:29:02 PMA. G. EDWARDS & SONS, INC.toNNNNNYNNNNNNNNYN801-58195812484751 BROAD STREET /BDLC00002159142_2AA801-12716ONE NORTH JEFFERSON AVETONIO@3NEWARKbX\@ҖTXUNITED STATENJUSAHST. LOUISNMo07102-3777NMonday - Friday,@^MOUSAX\@ҖV?͊>e8:30 63103 4:9:NMonday - Friday#C0003e203-341-801eee210-930-8:00 A.M. TO 4:30 P.M.930-4001973-802-8776=aKA@ string314-955-3000@@314-955-2726 @y B%A @@B%AO@KA A@yAYCHISTOPHER YGEOGE C. HANLEYA @yA)u@NORTHE - 4:30 P.M.1-900#C0003e203-341-801eee@Pg>a @ A R7?e801eee@Pga @ A R7?e4@B)@,@f?F@eeP?a @$ eeeeeeeeeeeeeLOTT, JEFFRYM=K17A-5AMbMedgar/dNNYNeeNICER1-5N/$@More than 1000PF51-250A A NN10001-5N03-34More than 1000'More than 1000pMore than 1000(#11-50NonMore than 500@e51-75%ore th26-50%one A A%eNoneeee A A A A r@Up to 10%INV CLUBS, LLCS, FOUNDATIONS, UNINCORP. CHURCHES & SCHOOLS, LTD PARTNERSHIPS, SOLE PROPRIETORSADG#C1911108ALLID DENS GRPtg{z?>=wAH@ string'C00036110A02/200110/19/2000 02:9:43YYNNNNNAN ASSYNNNNNNEMENT LLC;?a>aɿYN'>IRIDYYNNYYNY"DISTRIBUTION" OR 12B-1 FEES FROM MUTUAL FUNDS0 |ڿ????????e DAƁW@pB=O=%{=:n=@DA. G. EDWARDS & SONS, INC.)DHx6M ) 8/(L X) @A. G. EDWARDS & SONS, INC.003 11:50:38 AMTHE PRUDENTIAL INSURANC A02/200503/01/2007 06:04:29 PMA. G. EDWARDS & SONS, INC.=aKA@ string801-80743812484751 BROAD STREET /BDLC00002159142_2AA801-12716ONE NORTH JEFFERSON AVEAPOLIS3NEWARKbX\@ҖINUNITED STATENJUSAHST. 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