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<br />ADV All Pages <br /> <br />$500,001 to $1,000,000 C C <br />$1,000,001 to $2,500,000 C Co <br />$2,500,001 to $5,000,000 C ("; <br />More than $5,000,000 C C. <br /> <br />If securities Investments are over $5,000,000, how much? (round to the nearest $1,000,000) <br />If non-securities Investments are over $5,000,000, how much? (round to the nearest <br />$1,000,000) <br /> <br />Page 20 of 36 <br /> <br />Yes No <br />C C <br />C C <br />C C <br />C C <br />C C <br />(': C <br /> <br />I. Custody <br />(1) Do you withdraw advisory fees directly from your clients' accounts? If you answered <br />"yes", respond to the following: <br />(a) Do you send a copy of your invoice to the custodian or trustee at the same time <br />that you send a copy to the dient? <br />(b) Does the custodian send quarterly statements to your dients showing all <br />disbursements for the custodian account, Including the amount of the advisory <br />fees? <br />(c) Do your clients provide written authorization permitting you to be paid directly for <br />their accounts held by the custodian or trustee? <br />(2) Do you act as a general partner for any partnership or trustee for any trust in which <br />your advisory dlents are either partners of the partnership or beneficiaries of the trust? <br />If you answered "yes", respond to the following: <br />(a) As the general partner of a partnership, have you engaged an attorney or an <br />independent certified public accountant to prOVide authority permitting each direct <br />payment or any transfer of funds or securities from the partnership account? <br />(3) Do you require the prepayment of fees of more than $500 per dient and for six months C C <br />or more in advance? <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />Iprimary Business Name: PATTERSON'" ASSOCIATES Ic;RD Number: 110735 t <br /> <br />Rev. OS/2003 <br /> <br />IADV - Annual Amendment, Part 18, Page 4 <br />13/29/2004 11:09:50 AM <br /> <br />Ipart 1B Item 2 - Additional Information (Continued) <br /> <br />J. If you are organized as a sole proprietorship, please answer the following: <br />(l) (a) Have you passed, on or after January 1, 2000, the Series 65 examination? <br /> <br />(b) Have you passed, on or after January 1, 2000, the Series 66 examination and also <br />passed, at any time, the Series 7 examination? <br />(2) (a) Do you have any Investment advisory professional designations? <br />If unon, you do not need to answer Item 2.J(2)(b). <br />(b) I have earned and I am In good standing with the organization that issued the <br /> <br />Yes No <br /> <br />c c <br />c ('j <br />..- <br />C C <br /> <br />https:/Icrd.nasd.comlIadlContentJPrintHistJ Adv/PageslcnLiad_Adv AlIPages.asp?RefNum=&vi... 2/14/2005 <br />