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<br />ADV All Pages <br /> <br />or any related person has some other proprietary (ownership) interest (other than <br />those mentioned in Items a.A(!) or (2))? <br /> <br />Sales Interest in Client Transactions <br /> <br />B. Do you or any related person: <br />(i) as a broker-dealer or registered representative of a broker-dealer, execute securities <br />trades for brokerage customers in which advisory dient securities are sold to or <br />bought from the brokerage customer (agency cross transactions)? <br />(2) recommend purchase of securities to advisory clients for which you or any related <br />person serves as underwriter, general or managing partner, or purchaser <br />representative? <br />(3) recommend purchase or sale of securities to advisory dients for which you or any <br />related person has any other sales interest (other than the receipt of sales <br />commissions as a broker or registered representative of a broker-dealer)? <br /> <br />Investment or Brokerage Discretion <br /> <br />e. Do you or any related person have discretionary authority to determine the: <br />(1) securities to be bought or sold for a dient's account? <br /> <br />(2) amount of securities to be bought or sold for a dient's account? <br /> <br />(3) broker or dealer to be used for a purchase or sale of securities for a client's account? <br /> <br />(4) commission rates to be paid to a broker or dealer for a dlent's securities transactions? C <br /> <br />Page 12 of36 <br /> <br />Yes No <br />C ~ <br /> <br />c <br /> <br />(ij <br /> <br />c <br /> <br />~, <br /> <br />Yes No <br />€. C <br />t; () <br />~, C <br /> <br />~, <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />tPrimary Business Name: PATTERSON. ASSOCIATES jcRD Number: 110735 <br /> <br />Rev. OS/2003 <br /> <br />~DV - Annual Amendment, Page 12 <br />3/29/2004 11:09:50 AM <br /> <br />lItem 8 Participation or Interest In Client Transactions (Continued) I <br />D. Do you or any related person recommend brokers or dealers to dients? ~, C <br />E. Do you or any related person receive research or other products or services other than C €' <br />execution from a broker-dealer or a third party in connection with dient securities <br />transactions? <br />F. Do you or any related person, directly or indirectly, compensate any person for client (i) Co <br />referrals? <br />In responding to this Item 8.F., consider in your response all cash and non-cash <br />compensation that you or a related person gave any person In exchange for dient <br />referrals, induding any bonus that is based, at least in part, on the number or amount of <br />dient referrals. <br />lItem 9 Custody I <br />In this Item, we ask you whether you or a related person has custody of dient assets. If you are <br />registering or registered with the SEe and you deduct your advisory fees directly from your dients' <br />accounts but you do not otherwise have custody of your dients' funds or securities, you may answer <br />"no" to Item 9A.{1) and 9A.(2). <br /> <br />https:llcrd.nasd.comlIadlContentIPrintHistl AdvlPages/crcLiad_AdvAllPages.asp?RefNum=&vi... 2/14/2005 <br />