Case File
efta-efta01386207DOJ Data Set 10CorrespondenceEFTA Document EFTA01386207
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-efta01386207
Pages
0
Persons
0
Integrity
Loading PDF viewer...
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
AGP LP 519 Alpha Group Caudal Paul Barren
Item 3.
Table of Contents
Item 1.
Cover Page
1
Item 2.
Material Changes
1
Item 3.
Table of Contents
2
Item 4.
Advisory Business
3
Item 5.
Fees and Compensation
5
Item 6.
Performance-Based Fees and Side-By-Side Management
11
Item 7.
Types of Clients
11
Item 8.
Methods of Analysis, Investment Strategies and Risk of Loss
11
Item 9.
Disciplinary Information
15
Item 10.
Other Financial Industry Activities and Affiliation
15
Item 11.
Code of Ethics, Participation or Interest In Client Transactions and
Personal Trading
16
Item 12.
Brokerage Practices
17
Item 13.
Review of Accounts
20
Item 14.
Client Referrals and Other Compensation
21
Item 15.
Custody
21
Item 16.
Investment Discretion
21
Item 17.
Voting Client Securities
21
Item 18.
Financial Information
21
Item 19.
Requirements for State-Registered Advisers ...... ....... ......... ... ......... .......
22
Privacy Policy
22
Trade Error Policy
22
2
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0087795
CONFIDENTIAL
SONY GM_00233979
EFTA01386207
Technical Artifacts (1)
View in Artifacts BrowserEmail addresses, URLs, phone numbers, and other technical indicators extracted from this document.
Wire Ref
ReferralsForum Discussions
This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.
Annotations powered by Hypothesis. Select any text on this page to annotate or highlight it.