📄 Extracted Text (144 words)
HUESUS133 Alpha Group Capital
Item 3. Table of Contents
Table of Contents Page
Item 2. Material Changes 2
Item 3. Table of Contents 3
Item 4. Advisory Business 4
Item 5. Fees and Compensation 10
Item 6. Performance-Based Fees and Side-by-Side Management 21
Item 7. Types of Clients 211
Item 8. Methods of Analysis, Investment Strategies and Risk of Loss 22
Item 9. Disciplinary Information 83
Item 10. Other Financial Industry Activities and Affiliations 83
Item II. Code of Ethics, Participation or Interest in Client Transactions and Personal
Trading 84
Item 12. Brokerage Practices 85
Item 13. Review of Accounts 90
Item 14. Client Referrals and Other Compensation 90
Item 15. Custody 90
Item 16. Investment Discretion 90
Item 17. Voting Client Securities 91
Item 18. Financial Information 92
3
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084787
CONFIDENTIAL SONY GM_00230971
EFTA01384525
ℹ️ Document Details
SHA-256
af37dbee13931b26577d1503f7f4b9356c2e85bd933bd545b37e0ce4f5a1d341
Bates Number
EFTA01384525
Dataset
DataSet-10
Document Type
document
Pages
1
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