Advisory Services and Fees. (check the applicable boxes) For each type of service provided, state the approximate % of total advisory xxxxxxxx from that service. Applicant: (See instruction below.) (1) Provides investment supervisory services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 % (2) Manages investment advisory accounts not involving investment supervisory services . . . . . . . . . . . . . . . . . . . . . . . . . . . % (3) Furnishes investment advice through consultations not included in either service described above . . . . . . . . . . . . . . . . . . 1 % (4) Issues periodicals about securities by subscription . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . % (5) Issues special reports about securities not included in any service described above . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . % (6) Issues, not as part of any service described above, any charts, graphs, formulas, or other devices which clients mayuse to evaluate securities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . % (7) On more than an occasional basis, furnishes advice to clients on matters not involving securities . . . . . . . . . . . . . . . . . . . % (8) Provides a timing service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . % (9) Furnishes advice about securities in any manner not described above . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . % (Percentages should be based on applicant's last fiscal year. If applicant has not completed its first fiscal year, provide estimates of advisory xxxxxxxx for that year and state that the percentages are estimates.) Yes No B. Does applicant call any of the services it checked above financial planning or some similar term? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Advisory Services and Fees. (check the applicable boxes) For each type of service provided, state the approximate % of total advisory xxxxxxxx from that service. (See instruction below.) Applicant: (1) Provides investment supervisory services ............................................................................................. 99 % (2) Manages investment advisory accounts not involving investment supervisory services ...................... 1 % (3) Furnishes investment advice through consultations not included in either service described above .... % (4) Issues periodicals about securities by subscription ............................................................................... % (5) Issues special reports about securities not included in any service described above ............................ % (6) Issues, not as part of any service described above, any charts, graphs, formulas, or other deviceswhich clients may use to evaluate securities ......................................................................................... % (7) On more than an occasional basis, furnishes advice to clients on matters not involving securities ...... % (8) Provides a timing service ...................................................................................................................... % (9) Furnishes advice about securities in any manner not described above ................................................. % (Percentages should be based on applicant's last fiscal year. If applicant has not completed its first fiscal year, provide estimates of advisory xxxxxxxx for that year and state that the percentages are estimates.) Yes No B. Does applicant call any of the services it checked above financial planning or some similar term? . . . . . . . . C. Applicant offers investment advisory services for: (check all that apply) (1) A percentage of assets under management (4) Subscription fees (2) Hourly charges (5) Commissions (3) Fixed fees (not including subscription fees) (6) Other D. For each checked box in A above, describe on Schedule F: • the services provided, including the name of any publication or report issued by the adviser on a subscription basis or for a fee • applicant's basic fee schedule, how fees are charged and whether its fees are negotiable • when compensation is payable, and if compensation is payable before service is provided, how a client may get a refund or may terminate an investment advisory contract before its expiration date
Advisory Services and Fees. (check the applicable boxes) For each type of service provided, state the approximate of total advisory xxxxxxxx from that service. Applicant: (See instruction below.) Provides investment supervisory services .................................................... % Manages investment advisory accounts not involving investment supervisory services ................... El Furnishes investment advice through consultations not included in either service described above ..........
