FORM ADV (Paper Version) UNIFORM APPLICATION FOR ...

SEC 1707 (07-17)File 3 of 4 form ADV (Pape r Ve rs io n) UNIFORM APPLICATION FOR INVES TMENT ADVIS ER REGIS TRATION PART 2: UNIFORM Requirements for the Investment Adviser Brochure an d Brochure Supplements General Instructions for Part 2 of form ADV Under SEC and similar state rules you are required to deliver to clients an d p ro spective clients a brochure d is closing information about your firm. You also may be required to deliver a b ro ch ure su pplement d isclosin g in fo rmat io n about one or more of your supervised persons. Part 2 of form ADV sets out the minimum required disclosure that your b ro chure (Part 2A for a firm brochure, o r A p pendix 1 for a wrap fee program b rochure) an d brochure supplements (Part 2B) mus t contain. Read all the instructions, including General Instructions for form ADV, General Ins tructions for Part 2 of form ADV, Ins tructions for Part 2A of form ADV, Ins tructions for Part 2B of form ADV, and (if you are preparing or updating a wra p fee program b rochure) Instructions for Part 2A A p p endix 1 of form ADV, before preparing or updating your b rochure or brochure supplements.

Adobe Portable Document Format (“PDF”). See SEC rules 203-1 and 204-1 and similar state rules. If you are registered or are registering with the SEC, you are not required to file your . brochure supplements. through the IARD or otherwise. You must, however, preserve a copy of the supplements and make them available to SEC staff upon request.

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