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<br />ADV All Pages <br /> <br />Page 13 of 36 <br /> <br />A. Do you have custody of any advisory dients': <br />(1) cash or bank accounts? <br /> <br />(2) securities? <br /> <br />B. Do any of your related persons have custody of any of your advisory clients': <br />(i) cash or bank accounts? <br /> <br />(2) securities? <br /> <br />C. If you answered "yes" to either Item 9.8(1) or 9.6(2), is that related person a broker- <br />dealer registered under Section 15 of the Securities Exchange Act of 19341 <br /> <br />lItem 10 Control Persons <br /> <br />In this Item, we ask you to identify every person that, directly or indirectly, controls you. <br />If you are submitting an initial application, you must complete Schedule A and Schedule B. <br />Schedule A asks for information about your direct owners and executive officers. Schedule B <br />asks for information about your indirect owners. If this Is an amendment and you are updating <br />information you reported on either Schedule A or Schedule B (or both) that you filed with your <br />initial application, you must complete Schedule C. <br /> <br />Yes No <br />o €. <br />C' €. <br /> <br />C' ~! <br />-' <br />0 @ <br />C C <br /> <br />Does any person not named in Item 1.A. or Schedules A, B, or C, directly or <br />indirectly, control your management or policies? <br />If yes, complete Section 10 of Schedule D. <br /> <br />YES NO <br />C (!.. <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />Jprimary Business Name: PATTERSON 8t ASSOCIATES IcRD Number: 110735 f <br /> <br />Rev. OS/2003 <br /> <br />ADV - Annual Amendment, Page 13 <br />3/29/200411:09:50 AM <br /> <br />lItem 11 Disclosure Information <br /> <br />In this Item, we ask for information about your disciplinary history and the disciplinary history of all <br />your advisory affiliates. We use this information to determine whether to grant your application for <br />registration, to decide whether to revoke your registration or to place limitations on your activities <br />as an investment adviser, and to identify potential problem areas to focus on during our on-site <br />examinations. One event may result in "yes" answers to more than one of the questions below. <br /> <br />Your advisory affiliates are: (1) all of your current employees (other than employees performing <br />only clerical, administrative, support or similar functions); (2) all of your officers, partners, or <br />directors (or any person performing similar functions); and (3) all persons directly or indirectly <br />controlling you or controlled by you. If you are a "separately Identifiable department or <br />division" (SID) of a bank, see the Glossary of Terms to determine who your advisory affiliates are. <br /> <br />If you are registered or registering with the SEe, you may limit your disclosure of any event listed <br />in Item 11 to ten years following the date of the event. If you are registered or registering with a <br />state, you must respond to the questions as posed; you may, therefore, limit your disclosure to ten <br />years following the date of an event only in responding to Items 11.A(1), 11.A(2), J.1.B(1), 11.8 <br />(2), 11.D(4), and 11.H(1)(a). For purposes of calculating this ten-year period, the date of an event <br /> <br />https:/lcrd.nasd.comlIadlContentlPrintHistJ AdvlPages/cnCiatCAdv AllPages.asp?RetNum=&vi... 2/14/2005 <br />