Form ADV-E - SEC.gov

SEC 2223 (01-13) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, 20549 form ADV-E Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR (4)-2] Adviser Act SEC File Number: 801- Date examination completed: Identification Number:AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VI VA WA WV WI WY PUERTO RICO Other (specify): name of investment adviser (if individual, state last, first, middle name) under which business is conducted, if different from above:5. Address of principal place of business (number, street, city, state, zip code):INSTRUCTIONS This form must be completed by investment advisers that have custody of client funds or securities and that are subject to an annual surprise examination. This form may not be used to amend any information included in an investment adviser s registration statement ( , business address).

SEC 2223 (01-13) UNITED STATES SECURITIES AND EXCHANGE COMMISSION . Washington, D.C. 20549 . FORM ADV-E . Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser

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