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<br />ADV All Pages <br /> <br />Page 8 of 36 <br /> <br />(10) Other: <br /> <br />t". <br /> <br />r <br /> <br />c <br /> <br />C' <br /> <br />(" <br /> <br />c <br /> <br />The category "individuals" includes trusts, estates, 401(k) plans and lRAs of Individuals and their <br />family members, but does not indude businesses organized as sole proprietorships. <br /> <br />Unless you provide advisory services pursuant to an investment advisory contract to an <br />investment company registered under the Investment Company Act of 1940, check "None" in <br />response to Item 5.D(4). <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />rPrimary Business Name: PATTERSON&' ASSOCIATES ICRD Number: 110735 ~ <br /> <br />Rev. OS/2003 <br /> <br />IADV - Annual Amendment, Page 8 <br />13/29/2004 11:09:50 AM <br /> <br />Item 5 Information About Your Advisory Business (Continued) <br />Compensation Arrangements <br />E. You are compensated for your investment advisory services by (check all that apply): <br />~ (1) A percentage of assets under your management <br />P1 (2) Hourly charges <br />0(3) Subscription fees (for a newsletter or periodical) <br />R1 (4) Fixed fees (other than subscription fees) <br />o (5) Commissions <br />0(6) Perfonnance-based fees <br />C (7) Other (specify): <br />Assets Under Management <br /> <br />F. (1) Do you provide continuous and regular supervisory or management services to <br />securities portfolios? <br />(2) If yes, what is the amount of your assets under management and total number of accounts? <br />U.S. Dollar Amount Total Number of Accounts <br />(a) $ 619833796 .00 (d) 9 <br />(b) $ 274166204 .00 (e) 4 <br />(c) $ 894000000 .00 (f) 13 <br /> <br />YES NO <br />g, C <br /> <br />Discretionary: <br />Non-Discretionary : <br />Total: <br /> <br />Part lA Instruction 5.b. explains how to calculate your assets under management. You must <br />follow these instructions carefully when completing thIs Item. <br /> <br />Advisorv Activities <br /> <br />G. What type(s) of advisory services do you provide? Check all that apply. <br /> <br />o (l) Financial planning services <br />C (2) Portfolio management for individuals and/or small businesses <br /> <br />https:llcrd.nasd.comlIad/Content/PrintHist/ AdvlPages/crd_iad_Adv AllPages.asp?RefNum=&vi... 2/14/2005 <br />