EFTA01358581.pdf

(6) Approximately how many firms or other persons solicit advisory clients on your behalf? 11 In your response to Item 5.8. (6), do not count any of your employees and count a firm only once - do not count each of the firm's employees that solicit on your behalf. Clients In your responses to Items 5. C. and 5.0. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors. C. (1) To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year? r 0 r 1-10 r 11-25 G. 26-100 r More than 100 If more than 100, how many? (round to the nearest 100) (2) Approximately what percentage of your clients are non-United States persons? 59% D. For purposes of this Item 5.0., the category "individuals" includes trusts, estates, and 401(k) plans and IRAs of individuals and their family members, but does not include businesses organized as sole proprietorships. The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, check "None" in response to Item 5.0.(1)(d) and do not check any of the boxes in response to Item 5.O.(2)(d). (1) What types of clients do you have? Indicate the approximate percentage that each type of client comprises of your total number of clients. If a client fits into more than one category, check all that apply. None Up to 10% 11-25% 26-50% 51-75% 76-99% 100% (a) Individuals (other than high net worth individuals) P r r r r r r (b) High net worth individuals 6* r r r r r r (c) Banking or thrift institutions a r r r r r r (d) Investment companies a r r C r r r (e) Business development companies 6.* r r r r r r (0 Pooled investment vehicles (other than investment companies) r r r r r 6 C (g) Pension and profit sharing plans (but not the plan participants) r a r r r r r (h) Charitable organizations it r r r r r r (i) Corporations or other businesses not listed above r a r r r r r (j) State or municipal government entities r re r r r r r (k) Other investment advisers a r r r r r r (I) Insurance companies r a r r r r r (m) Other: 4' r r r r r (2) Indicate the approximate amount of your regulatory assets under management (reported in Item S.F. below) attributable to each of the following type of client. If a client fits into more than one category, check all that apply. None Up to 25% Up to 50% Up to 75% >75% (a) Individuals (other than high net worth individuals) 6 r r r r (b) High net worth individuals 6 r r r r (c) Banking or thrift institutions a r r r r (d) Investment companies l: r r r r (e) Business development companies 44 r r r r (f) Pooled investment vehicles (other than investment companies) r r r r a (g) Pension and profit sharing plans (but not the plan participants) r a r r r (h) Charitable organizations re r r r r (i) Corporations or other businesses not listed above r a r r r (j) State or municipal government entities r a r r r (k) Other investment advisers 0 r r r r (I) Insurance companies r 0 r r r (m) Other: a r r r r CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046520 CONFIDENTIAL SDNY_GM_00192704 EFTA01358581