Laserfiche WebLink
<br />ADV All Pages <br /> <br />Page 22of36 <br /> <br />managed by elected managers, all elected managers. <br /> <br />3. Do you have any Indirect owners to be reported on Schedule 8? € Yes C No <br />4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" If the owner Is an <br />entity Incorporated or domiciled in a foreign country, or "I" if the owner or executive officer is an <br />individual. <br />5. Complete the Title or Status column by entering board/management titles; status as partner, <br />trustee, sole proprietor, elected manager, shareholder, or member; and for shareholders or <br />members, the class of securities owned (if more than one is issued). <br />6. Ownership codes NA -less than 5% 8 - 10% but less than <br />are: 25% <br />A - 5% but less than C - 25% but less than <br />10% 50% <br />7. (a) In the Control Person column, enter "Yes" if the person has control as defined In the Glossary <br />of Terms to Form AOV, and enter "No" if the person does not have control. Note that under <br />this definition, most executive officers and all 25% owners, general partners, elected <br />managers, and trustees are control persons. <br />(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or <br />15(d) of the Exchange Act. <br />(c) Complete each column. <br /> <br />FUll lEGAL NAMe IDE/FE/II1lt'e or Status Date Title Ownership Control 0 CRD No. If None: <br />(Individuals: Last or Status Code Person S.S. No. and <br />Name, First Name, Acquired Date of Birth, <br />Middle Name) MM/YYYY IRS Tax No., or <br />Employer 10 No. <br /> <br /> <br />PATTERSON, DDIRECTORAND 104/1994 IDA 002469948 <br />UNDA PRESIDENT OF <br />ITHE GENERAL <br />PARTNER OF <br />THE APPUCANT <br /> <br />D~~~1:ND 104/1~4 IDA 002469951 <br /> <br />THE APPUCANT <br />PATTERSON &. IDEIIUMITED 1104/1994 110 IrYI(Nl1742703915 <br />ASSOCIATES L-jPARTNER .. .. .L--JU <br />~g~:R~CHARD, DIDIRECTOR 1108/1998 IINA It=JrJ12102059 <br /> <br />~g~~~ON, DIDIRECTOR 1108/1998 IINA It=JrJ12452038 <br /> <br />CONVERGENT DE LIMITeD 104/2003 100D34-1975129 <br />CAPITAL PARTNER <br />MANAGEMENT <br />LLC <br />~~~~ WARREN, DIOIRECTOR 1111/2003 IINA It=JrJ1867820 <br /> <br />D - 50% but less than <br />75% <br />E - 75% or more <br /> <br />CERVANTES, <br />DEBORAH <br /> <br />I <br />J <br />I <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br /> <br />. <br /> <br />. <br /> <br />https://crd.nasd.com/IadlContentlPrintHist/ AdvlPages/crcLiad_Adv AllPages.asp?RefNum=&vi... 2/14/2005 <br />