These forms are filed with the Securities and Exchange Commission (the regulatory body of Registered Investment Advisors) and with state regulatory agencies as required.

• SEC Form ADV - Part I - Business practices, ownership and control, contacts, state registrations, services offered, disclosure of conflicts, disciplinary information

• SEC Form ADV - Part II - Also known as the "brochure". Describes services, types of clients, types of investments, methods of analysis, education and business background of principals

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