Laserfiche WebLink
<br />ADV All Pages <br /> <br />Page 11 of36 <br /> <br />If you checked Item 7.A(3), you must list on Section 7.A. of Schedule D all your related persons <br />that are investment advisers. If you checked Item 7.A(J), you may elect to list on Section 7.A. of <br />Schedule D all your related persons that are broker-dealers. If you choose to list a related broker- <br />dealer, the lARD wlJl accept a single Form U-4 to register an investment adviser representative <br />who also is a broker-dealer agent ("registered rep") of that related broker-dealer. <br /> <br />B. Are you or any related person a general partner In an investment-related limited <br />partnership or manager of an investment-related limited liability company? <br /> <br />YES NO <br />o €' <br /> <br />If "yes, R for each limited partnership or limited liability company, complete Section 7.B. <br />of Schedule D. If, however, you are an SEC-registered adviser and you have related <br />persons that are SEe-registered advisers who are the general partners of limited <br />partnerships or the managers of limited liability companies, you do not have to complete <br />Section 7.B. of Schedule D with respect to those related advisers' limited partnerships or <br />limited liability companies. <br /> <br />To use this alternative procedure, you must state in the Miscellaneous Section of <br />Schedule D: (1) that you have related SEC-registered investment advisers that manage <br />limited partnerships or limited liability companies that are not listed in Section 7.B. of <br />your Schedule D; (2) that complete and accurate information about those limited <br />partnerships or limited liability companies is available in Section 7.B. of Schedule D of <br />the Form ADVs of your related SEe-registered advisers; and (3) whether your dients are <br />solicited to invest In any of those limited partnerships or limited liability companies. <br /> <br />lItem 8 Participation or Interest In Client Transactions <br /> <br />In this Item, we request information about your partidpation and interest in your dients' transactions. <br />Uke Item 7, this information Identifies areas in which conflicts of interest may occur between you and <br />your dients. <br /> <br />Like Item 7, Item 8 requires you to provide information about you and your related persons. <br /> <br />FORM ADV <br /> <br />UNIFORM APPLICATION fOR INVESTMENT ADVISER REGISTRATION <br /> <br />~primary Business Name: PATTERSON 81 ASSOCIATES IcRD Number: 110735 I <br /> <br />Rev. OS/2003 <br /> <br />IADV - Annual Amendment, Page 11 <br />13/29/2004 11:09:50 AM <br /> <br />lItem 8 Participation or Interest in Client Transactions (Continued) <br /> <br />Proprietary Interest in Client Transactions <br /> <br />A. Do you or any related person: <br />(1) buy securities for yourself from advisory clients, or sell securities you own to advisory <br />dlents (prindpal transactions)? <br />(2) buy or sell for yourself securities (other than shares of mutual funds) that you also <br />recommend to adVisory dlents? <br />(3) recommend securities (or other investment products) to advisory clients in which you <br /> <br />Yes No <br />C @ <br /> <br />@. C <br /> <br />(! ~! <br /> <br />https://crd.nasd.comlIadlContentlPrintHistl AdvlPages/crd_iad_Adv A11Pages.asp?RefNum=&vi... 2/14/2005 <br />