Free Form ADV-E - Federal


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UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB APPROVAL OMB Number: 3235-0361 Expires: March 31, 2012 Estimated average burden hours per response . . . . . . . . . . . . . . .0.05

FORM ADV-E
Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR 275.206(4)-2]

1. Investment Adviser Act SEC File Number: 8012. State Identification Number:

Date examination completed:

AL CO GA IA MD MO NJ OH SC VT WI

AK CT HI KS MA MT NM OK SD VI WY

AZ DE ID KY MI NE NY OR TN VA PUERTO RICO

AR DC IL LA MN NV NC PA TX WA Other (specify):

CA FL IN ME MS NH ND RI UT WV

3. Full name of investment adviser (if individual, state last, first, middle name): 4. Name under which business is conducted, if different from above:

5. Address of principal place of business (number, street, city, state, zip code): INSTRUCTIONS This Form must be completed by investment advisers who possess or have custody of client funds or securities. This Form may not be used to amend any information included in an investment adviser's registration statement (e.g. business address). Investment Adviser 1. 2. All items must be completed by the investment adviser. Give this Form to the independent public accountant who, in compliance with rule 206(4)-2(a)(3)(ii)(B) under the Act and applicable state law, examines client funds and securities in the custody or possession of the investment adviser.

Accountant 3. Submit this Form to the Securities and Exchange Commission and appropriate state securities administrators when filing the certificate of accounting required by Rule 206(4)-2(a)(3)(ii)(B) under the Act and applicable state law. File the original and one copy with the Securities and Exchange Commission's principal office in Washington, D.C., one copy with the regional office for the region in which the investment adviser's principal business operations are conducted, and one copy with the appropriate state administrator(s), if applicable. THIS FORM MUST BE GIVEN TO YOUR INDEPENDENT PUBLIC ACCOUNTANT SEC'S COLLECTION OF INFORMATION. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Sections 203(c)(1) and 204 of the Advisers Act authorize the Commission to collect the information on this Form from applicants. See 15 U.S.C. §§ 80b-3(c)(1) and 80b-4. Filing of this Form is mandatory. The principal purpose of this collection of information is to make the examination certificates filed by an accountant pursuant to Rule 206(4)-2(a)(3)(ii)(B) under the Adviser Act (after that accountant has verified by actual examination the securities and funds of clients in the custody of an investment adviser) more accessible for inspection by the Commission staff and the public and will facilitate verification of compliance with examination requirements. See 17 CFR §275.206(4)2(a)(3)(ii)(B). The Commission will maintain files of the information on Form ADV-E and will make the information publicly available. Any member of the public may direct to the Commission any comments concerning the accuracy of the burden estimate on page one of Form ADV-E, and any suggestions for reducing this burden. This collection of information has been reviewed by the Office of Management and Budget in accordance with the clearance requirements of 44 U.S.C. §3507. The applicable Private Act system of records is SEC-2, and the routine uses of the records are set forth at 40 FR 39255 (Aug. 27, 1975) and 41 FR 5318 (Feb. 5, 1976).

SEC 2223 (3-26-09)