EFTA01358580.pdf

✓ Sole Proprietorship ✓ Limited Liability Partnership (LLP) • Partnership ✓ Limited Liability Company (LLC) • Limited Partnership (LP) ✓ Other (specify): If you are changing your response to this Item, see Part IA Instruction 4. B. In what month does your fiscal year end each year? DECEMBER C. Under the laws of what state or country are you organized? State Country Delaware United States If you are a partnership, provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor, provide the name of the state or country where you reside. If you are changing your response to this Item, see Part IA Instruction 4. Item 4 Successions Yes No A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser? r fir If "yes", complete Item 4.8. and Section 4 of Schedule D. B. Date of Succession: (MM/DD/YYYY) If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part /A Instruction 4. SECTION 4 Successions No Information Filed Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making regulatory policy. Part lA Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5. Employees If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item S.A. and Items 5.8.(1), (2), (3), (4), and (5). If an employee performs more than one function, you should count that employee in each of your responses to Items 5.8.(1), (2), (3), (4), and (5). A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers. 225 B. (1) Approximately how many of the employees reported in S.A. perform investment advisory functions (including research)? 41 (2) Approximately how many of the employees reported in S.A. are registered representatives of a broker-dealer? 0 (3) Approximately how many of the employees reported in S.A. are registered with one or more state securities authorities as investment adviser representatives? 1 (4) Approximately how many of the employees reported in S.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you? 0 (5) Approximately how many of the employees reported in S.A. are licensed agents of an insurance company or agency? 0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046519 CONFIDENTIAL SDNY_GM_00192703 EFTA01358580