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<br />ADV All Pages <br /> <br />Page 60f36 <br /> <br />lItem 3 Form Of Organization (Continued) I <br /> <br />B. In what month does your fiscal year end each year? <br />December <br />C. Under the laws of what state or country are you organized? <br />TEXAS <br />If you are a partnership, provide the name of the state or country under whose laws your <br />partnership was formed. If you are a sole proprietor, provide the name of the state or country <br />where you reside. <br /> <br />If you are changing your response to this Item, see Part 1A Instruction 4. <br />lItem 4 Successions <br /> <br />YES NO <br />r: (t, <br /> <br />A. Are you, at the time of this filing, succeeding to the business of a registered Investment <br />adviser? <br />If "yes, " complete Item 4.8. and Section 4 of Schedule D. <br />B. Date of Succession: (MM/DD/yyyy) <br /> <br />If you have already reported this succession on a previous Form ADV filing, do not report <br />the succession again. Instead, check "No." See Part 1A Instruction 4. <br /> <br />Item 5 Information About Your Advisory Business <br /> <br />Responses to this Item help us understand your business, assist us in preparing for on-site <br />examinations, and provide us with data we use when making regulatory policy. Part lA Instruction <br />5.a. prOVides additional guidance to newly-formed advisers for completing this Item 5. <br />Employees <br /> <br />A. Approximately how many employees do you have? Include full and part-time employees but do <br />not include any derical workers. <br /> <br />(!; 1- 5 C 6-10 <br /> <br />C 501-1,000 C More than <br />1,000 <br /> <br />B. <br /> <br />ell-50 C 51-250 <br />If more than 1,000, how many? <br />(round to the nearest 1,000) <br /> <br />C 251-500 <br /> <br />ApproXimately how many of these employees perform investment advisory functions <br />(Including research)? <br /> <br />C 0 ~, 1-5 <br /> <br />C 251-500 r:., 501-1,000 <br /> <br />('C. 6-10 <br /> <br />C More than <br />1,000 <br />Approximately how many of these employees are registered representatives of a broker- <br />dealer? <br />@O <br /> <br />(1) <br /> <br />(2) <br /> <br />(' 251-500 <br /> <br />01-5 <br />C 501-1,000 <br /> <br />ell-50 c 51-250 <br /> <br />If more than 1,000, how many? <br />(round to the nearest 1,000) <br /> <br />C 6-10 <br /> <br />C More than <br />1,000 <br /> <br />C 11-50 C 51-250 <br />If more than 1,000, how many? <br /> <br />(round to the nearest 1,000) <br /> <br />II <br /> <br />https://cnLnasd.comlIad/Content/PrintHist/ AdvlPages/crd_iad_Adv AllPages.asp?RefNum=&vi... 2/14/2005 <br />