Case File
efta-01384525DOJ Data Set 10OtherEFTA01384525
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01384525
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
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
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