ADV Part 1 - Item 5 - Clients | Your RIA Compliance

Form ADV Part 1 - Item 5 - Clients

Enter information as of December 31.

This page corresponds to Form ADV Part - Item 5C and D (Clients).

Your Name: *

To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services during your most recently completed fiscal year? *

Approximately what percentage of your clients are non-United States persons? *

Number of Individuals (other than high net worth individuals) *

Amount of Regulatory Assets Under Management - Individuals *

Number of High-Net Worth Individuals *

Amount of Regulatory Assets Under Management - High Net Worth Individuals *

Number of Banking or Thrift Institutions *

Amount of Regulatory Assets Under Management - Banking or Thrift Institutions *

Number of Investment Companies *

Amount of Regulatory Assets Under Management - Investment Companies

Number of Business Development Companies *

Amount of Regulatory Assets Under Management - Business Development Companies

Number of Other Pooled Investment Vehicles

Amount of Regulatory Assets Under Management - Other Pooled Investment Vehicles

Number of Pension and Profit Sharing Plans (do not count plan participants or government pension plans) *

Amount of Regulatory Assets Under Management - Pension and Profit Sharing Plans

Number of Charitable Organizations

Amount of Regulatory Assets Under Management - Charitable Organizations

Number of State or Municpal Government Entities (including government pension plans)

Amount of Regulatory Assets Under Management - State or Municipal Government Entities

Number of Other Investment Advisers

Amount of Regulatory Assets Under Management - Other Investment Advisers

Number of Insurance Companies

Amount of Regulatory Assets Under Management - Insurance Companies

Number of Sovereign Wealth Funds and Foreign Official Institutions

Amount of Regulatory Assets Under Management - Sov Wealth Funds and Foreign Institutions

Number of Corporations or Other Businesses Not Listed Above

Amount of Regulatory Assets Under Management - Corporations and Other Businesses

Number of Other Client Types

Amount of Regulatory Assets Under Management - Other Client Types

Submit