Text extracted via OCR from the original document. May contain errors from the scanning process.
Compensation Arrangements
E.
You are compensated for your investment advisory services by (check all that apply):
(1)
A percentage of assets under your management
(2)
Hourly charges
(3)
Subscription fees (for a newsletter or periodical)
(4)
Fixed fees (other than subscription fees)
(5)
Commissions
(6)
Performance-based fees
(7)
Other (specify):
11 - I - I "MI
Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
Regulatory Assets Under Management
F.
(1) Do you provide continuous and regular supervisory or management services to securities portfolios?
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts?
U.S. Dollar Amount
Total Number of Accounts
Discretionary:
(a) $ 27,384,391,581
(d) 84
Non-Discretionary:
(b) $ 112,672,406
(e) 3
Total:
(c) $ 27,497,063,987
(f) 87
Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when
completing this Item.
Item 5 Information About Your Advisory Business - Advisory Activities
Yes No
r. r
Advisory Activities
G.
What type(s) of advisory services do you provide? Check all that apply.
(1)
Financial planning services
•
(2)
Portfolio management for individuals and/or small businesses
(3)
Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to
section 54 of the Investment Company Act of 1940)
F
(4)
Portfolio management for pooled investment vehicles (other than investment companies)
rs7 (5)
Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and
other pooled investment vehicles)
(6)
Pension consulting services
(7)
Selection of other advisers (including private fund managers)
(8)
Publication of periodicals or newsletters
(9)
Security ratings or pricing services
(10) Market timing services
(11) Educational seminars/workshops
(12) Other(specify):
Do not check Item 5.G. (3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the
Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or
investment companies to which you provide advice in Section 5.G.(3) of Schedule D.
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
fr 0
r 1
10
I1 25
26 50
51 - 100
101 - 250
251 - 500
More than 500
If more than 500, how many?
(round to the nearest 500)
In your responses to this Item
do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship
with those investors.
I. If you participate in a wrap fee program, do you (check all that apply):
(1) sponsor the wrap fee program?
(2) act as a portfolio manager for the wrap fee program?
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0046521
CONFIDENTIAL
SDNY_GM_00192705
EFTA01358582