This document is a section of the SEC Form ADV, which includes questions about civil proceedings, small business status, and ownership details for investment advisers. It includes questions about past civil actions, current proceedings, and small business qualifications. It also outlines requirements for reporting direct and indirect owners and executive officers.
documents/vol00010-efta01358784-pdf.pdf
{"document_type":"legal","document_subtype":"SEC Form ADV","key_organizations":["SEC"],"reference_numbers":["DB-SDNY-0046726","SDNY_GM_00192910","EFTA01358784"]}