{ "generated": "2026-10-22", "license": "CC BY 4.0", "attribution": "wealthtech.dev", "source": { "file": "ia100226.zip", "innerFile": "ia09012026.csv", "url": "https://www.sec.gov/files/investment/data/other/information-about-registered-investment-advisers-exempt-reporting-advisers/ia100226.zip", "page": "https://www.sec.gov/data-research/sec-markets-data/information-about-registered-investment-advisers-exempt-reporting-advisers", "retrieved": "2026-10-17", "rows": 17210, "columnCount": 448, "encoding": "cp1252" }, "form": { "url": "https://www.sec.gov/files/formadv-part1a_1.pdf", "title": "Form ADV Part 1A (SEC 1707 (07-24))", "retrieved": "2026-10-17" }, "columns": [ { "column": "SEC Region", "normalized": "sec_region", "formItem": null, "question": null, "type": "enum", "values": "Observed values: ARO | BRO | CHRO | DRO | FWRO | HQ | LARO | MIRO | NYRO | PLRO | SFRO", "gotchas": "Added by the SEC (a region code such as NYRO or SFRO); it is not a Form ADV answer.", "published": true }, { "column": "Organization CRD#", "normalized": "crd_number", "formItem": "1.E(1)", "question": "If you have a number (“CRD Number”) assigned by the FINRA’s CRD system or by the IARD system, your CRD number:", "type": "int", "values": "Whole number (identifier; never sum it)", "gotchas": "The firm's unique ID in the IARD/CRD system. Use it as the join key: it is filled in for every row and is unique in this file.", "published": true }, { "column": "Additional CRD Number", "normalized": "additional_crd_number", "formItem": "1.E(2)", "question": "If you have additional CRD Numbers, your additional CRD numbers:", "type": "int", "values": "Whole number (identifier)", "gotchas": "Only 44 firms have one. When a firm lists two, only the first appears here. Blank in 17,166 of 17,210 rows.", "published": true }, { "column": "Total number of additional CRD numbers", "normalized": "additional_crd_number_count", "formItem": "1.E(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC; not a Form ADV answer. Blank in 17,166 of 17,210 rows.", "published": true }, { "column": "SEC#", "normalized": "sec_file_number", "formItem": "1.D(1)", "question": "If you are registered with the SEC as an investment adviser, your SEC file number:", "type": "text", "values": "801- followed by digits", "gotchas": "Starts with 801- followed by digits. Unique per firm in this file.", "published": true }, { "column": "Firm Type", "normalized": "firm_type", "formItem": null, "question": null, "type": "enum", "values": "Observed values: Registered", "gotchas": "Added by the SEC. This is the registered-advisers file, so every row says Registered; exempt reporting advisers are published in a separate file.", "published": true }, { "column": "Umbrella Registration", "normalized": "umbrella_registration", "formItem": "1.B(2)", "question": "If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box", "type": "bool", "values": "Y or N", "gotchas": "Blank for 18 rows.", "published": true }, { "column": "Total number of relying advisers", "normalized": "relying_advisers_count", "formItem": "1.B(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC (the relying advisers listed on Schedule R of an umbrella registration). Blank unless Umbrella Registration is Y.", "published": true }, { "column": "CIK#", "normalized": "cik", "formItem": "1.D(3)", "question": "If you have one or more Central Index Key numbers assigned by the SEC (“CIK Numbers”), all of your CIK numbers:", "type": "int", "values": "Whole number (identifier)", "gotchas": "Only one CIK appears here even when the firm has several; the next column holds the count. Blank in 12,889 of 17,210 rows.", "published": true }, { "column": "Total number of CIK numbers", "normalized": "cik_count", "formItem": "1.D(3)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC; not a Form ADV answer. Blank in 12,889 of 17,210 rows.", "published": true }, { "column": "Primary Business Name", "normalized": "primary_business_name", "formItem": "1.B(1)", "question": "Name under which you primarily conduct your advisory business, if different from Item 1.A.", "type": "text", "values": null, "gotchas": "Filled in for every row, and identical to Legal Name in 12,618 of them. Names are not unique (17,146 distinct in 17,210 rows).", "published": true }, { "column": "Legal Name", "normalized": "legal_name", "formItem": "1.A", "question": "Your full legal name (if you are a sole proprietor, your last, first, and middle names):", "type": "text", "values": null, "gotchas": "For the 67 sole proprietorships this is a person's name in last, first, middle order. Names are not unique; join on the CRD number.", "published": true }, { "column": "Main Office Street Address 1", "normalized": "main_office_street_1", "formItem": "1.F(1)", "question": "Address (do not use a P.O. Box):", "type": "text", "values": null, "gotchas": "Main office line 1 of the street address. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (1,406 rows); the telephone number is still filled. Foreign addresses have no state.", "published": true }, { "column": "Main Office Street Address 2", "normalized": "main_office_street_2", "formItem": "1.F(1)", "question": "Address (do not use a P.O. Box):", "type": "text", "values": null, "gotchas": "Main office line 2 of the street address (suite, floor). When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (1,406 rows); the telephone number is still filled. Foreign addresses have no state.", "published": true }, { "column": "Main Office City", "normalized": "main_office_city", "formItem": "1.F(1)", "question": "Address (do not use a P.O. Box):", "type": "text", "values": null, "gotchas": "Main office city. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (1,406 rows); the telephone number is still filled. Foreign addresses have no state.", "published": true }, { "column": "Main Office State", "normalized": "main_office_state", "formItem": "1.F(1)", "question": "Address (do not use a P.O. Box):", "type": "text", "values": null, "gotchas": "Main office US state or territory code. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (1,406 rows); the telephone number is still filled. Foreign addresses have no state.", "published": true }, { "column": "Main Office Country", "normalized": "main_office_country", "formItem": "1.F(1)", "question": "Address (do not use a P.O. Box):", "type": "text", "values": null, "gotchas": "Main office country. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (1,406 rows); the telephone number is still filled. Foreign addresses have no state.", "published": true }, { "column": "Main Office Postal Code", "normalized": "main_office_postal_code", "formItem": "1.F(1)", "question": "Address (do not use a P.O. Box):", "type": "text", "values": "Text; keep leading zeros. US ZIP codes, ZIP+4 and foreign postal codes all appear.", "gotchas": "Main office postal code. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (1,406 rows); the telephone number is still filled. Foreign addresses have no state.", "published": true }, { "column": "Main Office Private Residence Flag", "normalized": "main_office_private_residence", "formItem": "1.F(1)", "question": "If this address is a private residence, check this box:", "type": "bool", "values": "Y or N", "gotchas": "1,406 rows are Y, and every one has a blank street address, city, state, country and postal code. The telephone number is still filled.", "published": true }, { "column": "Main Office Telephone Number", "normalized": "main_office_phone", "formItem": "1.F(3)", "question": "Telephone number at this location:", "type": "text", "values": null, "gotchas": "Free text; formats vary (212-583-5000, (212) 419-3000).", "published": true }, { "column": "Main Office Facsimile Number", "normalized": "main_office_fax", "formItem": "1.F(4)", "question": "Facsimile number at this location, if any:", "type": "text", "values": null, "gotchas": "Free text. Filers type N/A, NONE and NA in this box, so those strings are not phone numbers. Blank in 7,944 of 17,210 rows.", "published": true }, { "column": "Total number of offices, other than your Principal Office and place of business", "normalized": "other_offices_count", "formItem": "1.F(5)", "question": "What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most recently completed fiscal year?", "type": "int", "values": "Whole number", "gotchas": "Blank for 2 rows.", "published": true }, { "column": "Mail Office Street Address 1", "normalized": "mail_office_street_1", "formItem": "1.G", "question": "Mailing address, if different from your principal office and place of business address:", "type": "text", "values": null, "gotchas": "Mailing address, only when it differs from the main office. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (173 rows). Foreign addresses have no state.", "published": true }, { "column": "Mail Office Street Address 2", "normalized": "mail_office_street_2", "formItem": "1.G", "question": "Mailing address, if different from your principal office and place of business address:", "type": "text", "values": null, "gotchas": "Mailing address, only when it differs from the main office. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (173 rows). Foreign addresses have no state.", "published": true }, { "column": "Mail Office City", "normalized": "mail_office_city", "formItem": "1.G", "question": "Mailing address, if different from your principal office and place of business address:", "type": "text", "values": null, "gotchas": "Mailing address, only when it differs from the main office. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (173 rows). Foreign addresses have no state.", "published": true }, { "column": "Mail Office State", "normalized": "mail_office_state", "formItem": "1.G", "question": "Mailing address, if different from your principal office and place of business address:", "type": "text", "values": null, "gotchas": "Mailing address, only when it differs from the main office. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (173 rows). Foreign addresses have no state.", "published": true }, { "column": "Mail Office Country", "normalized": "mail_office_country", "formItem": "1.G", "question": "Mailing address, if different from your principal office and place of business address:", "type": "text", "values": null, "gotchas": "Mailing address, only when it differs from the main office. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (173 rows). Foreign addresses have no state.", "published": true }, { "column": "Mail Office Postal Code", "normalized": "mail_office_postal_code", "formItem": "1.G", "question": "Mailing address, if different from your principal office and place of business address:", "type": "text", "values": "Text; keep leading zeros.", "gotchas": "Mailing address, only when it differs from the main office. When the private-residence flag is Y, the street address, city, state, country and postal code are all blank (173 rows). Foreign addresses have no state.", "published": true }, { "column": "Mail Office Private Residence Flag", "normalized": "mail_office_private_residence", "formItem": "1.G", "question": "If this address is a private residence, check this box:", "type": "bool", "values": "Y or N", "gotchas": "Filled in for 1,616 rows, but only 1,443 rows have a mailing address. The 173 extra rows are all Y, and their street address, city, state, country and postal code are all blank.", "published": true }, { "column": "SEC Current Status", "normalized": "sec_status", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 120-Day Approval | Approved", "gotchas": "Added by the SEC (registration status). Only two values appear: Approved and 120-Day Approval.", "published": true }, { "column": "SEC Status Effective Date", "normalized": "sec_status_effective_date", "formItem": null, "question": null, "type": "date", "values": "MM/DD/YYYY", "gotchas": "Added by the SEC: the date the current SEC status took effect.", "published": true }, { "column": "Jurisdiction Notice Filed-Effective Date", "normalized": "notice_filings", "formItem": "2.C", "question": "Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they file with the SEC. These are called notice filings.", "type": "text", "values": "Comma-separated list of STATE-MM/DD/YYYY entries", "gotchas": "One cell holds many entries, comma-separated, each written STATE-MM/DD/YYYY (for example NY-03/30/2012). The entry shows the state and the date its notice filing became effective. Blank for 1,883 rows.", "published": true }, { "column": "Latest ADV Filing Date", "normalized": "latest_adv_filing_date", "formItem": null, "question": null, "type": "date", "values": "MM/DD/YYYY", "gotchas": "Added by the SEC: the date of the firm's most recent Form ADV filing.", "published": true }, { "column": "Form Version", "normalized": "form_version", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 02/2005 | 03/2020 | 10/2012 | 10/2017 | 10/2021", "gotchas": "Added by the SEC: which version of Form ADV the filing used (MM/YYYY). 17,205 of 17,210 rows are 10/2021; 5 firms are on older versions.", "published": true }, { "column": "1I", "normalized": "item_1i_has_websites", "formItem": "1.I", "question": "Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "Website Address", "normalized": "website_address", "formItem": "1.I", "question": "Address of Website/Account on Publicly Available Social Media Platform:", "type": "text", "values": null, "gotchas": "Comes from Schedule D Section 1.I. Only one address is shown even when the firm lists several (see Total Number of Website Addresses). Filers type free text, so a few cells hold notes such as '(PRIMARY FIRM WEBSITE)', and capitalisation and the http/https prefix vary. Blank when 1I is N.", "published": true }, { "column": "Total Number of Website Addresses", "normalized": "website_address_count", "formItem": "1.I", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC (how many Schedule D 1.I addresses the firm listed); not a Form ADV answer. It is 0 when 1I is N.", "published": true }, { "column": "1L", "normalized": "item_1l_books_elsewhere", "formItem": "1.L", "question": "Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your principal office and place of business?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "Location of Books and Records Street Address 1", "normalized": "books_records_street_1", "formItem": "Schedule D 1.L", "question": "Complete the following information for each location at which you keep your books and records, other than your principal office and place of business.", "type": "text", "values": null, "gotchas": "Address of one books-and-records location from Schedule D Section 1.L; only one location appears even when the firm lists several (the count column shows how many). The SEC withholds the street address when the private-residence flag is Y (every Y row has a blank address). Foreign addresses have no state.", "published": true }, { "column": "Location of Books and Records Street Address 2", "normalized": "books_records_street_2", "formItem": "Schedule D 1.L", "question": "Complete the following information for each location at which you keep your books and records, other than your principal office and place of business.", "type": "text", "values": null, "gotchas": "Address of one books-and-records location from Schedule D Section 1.L; only one location appears even when the firm lists several (the count column shows how many). The SEC withholds the street address when the private-residence flag is Y (every Y row has a blank address). Foreign addresses have no state.", "published": true }, { "column": "Location of Books and Records City", "normalized": "books_records_city", "formItem": "Schedule D 1.L", "question": "Complete the following information for each location at which you keep your books and records, other than your principal office and place of business.", "type": "text", "values": null, "gotchas": "Address of one books-and-records location from Schedule D Section 1.L; only one location appears even when the firm lists several (the count column shows how many). The SEC withholds the street address when the private-residence flag is Y (every Y row has a blank address). Foreign addresses have no state.", "published": true }, { "column": "Location of Books and Records State", "normalized": "books_records_state", "formItem": "Schedule D 1.L", "question": "Complete the following information for each location at which you keep your books and records, other than your principal office and place of business.", "type": "text", "values": null, "gotchas": "Address of one books-and-records location from Schedule D Section 1.L; only one location appears even when the firm lists several (the count column shows how many). The SEC withholds the street address when the private-residence flag is Y (every Y row has a blank address). Foreign addresses have no state.", "published": true }, { "column": "Location of Books and Records Country", "normalized": "books_records_country", "formItem": "Schedule D 1.L", "question": "Complete the following information for each location at which you keep your books and records, other than your principal office and place of business.", "type": "text", "values": null, "gotchas": "Address of one books-and-records location from Schedule D Section 1.L; only one location appears even when the firm lists several (the count column shows how many). The SEC withholds the street address when the private-residence flag is Y (every Y row has a blank address). Foreign addresses have no state.", "published": true }, { "column": "Location of Books and Records Postal Code", "normalized": "books_records_postal_code", "formItem": "Schedule D 1.L", "question": "Complete the following information for each location at which you keep your books and records, other than your principal office and place of business.", "type": "text", "values": null, "gotchas": "Address of one books-and-records location from Schedule D Section 1.L; only one location appears even when the firm lists several (the count column shows how many). The SEC withholds the street address when the private-residence flag is Y (every Y row has a blank address). Foreign addresses have no state.", "published": true }, { "column": "Total Number of Books and Records Locations", "normalized": "books_records_locations_count", "formItem": "Schedule D 1.L", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC; not a Form ADV answer.", "published": true }, { "column": "1M", "normalized": "item_1m_foreign_registered", "formItem": "1.M", "question": "Are you registered with a foreign financial regulatory authority?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "1N", "normalized": "item_1n_public_reporting_company", "formItem": "1.N", "question": "Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 1 of 17,210 rows.", "published": true }, { "column": "1O", "normalized": "item_1o_assets_1bn_or_more", "formItem": "1.O", "question": "Did you have $1 billion or more in assets on the last day of your most recent fiscal year?", "type": "bool", "values": "Y or N", "gotchas": "'Assets' here means the firm's own total assets on its balance sheet, not the client assets it manages. Blank in 1 of 17,210 rows.", "published": true }, { "column": "1O - If yes, approx. amount of assets", "normalized": "item_1o_assets_range", "formItem": "1.O", "question": "If yes, what is the approximate amount of your assets:", "type": "enum", "values": "Observed values: $1 billion - $10 billion | $10 billion - $50 billion | More than $50 billion", "gotchas": "The file's labels differ from the form's wording: the form says '$1 billion to less than $10 billion', the file says '$1 billion - $10 billion'. Treat the ranges as half-open as on the form. Blank in 16,594 of 17,210 rows.", "published": true }, { "column": "1P", "normalized": "item_1p_lei", "formItem": "1.P", "question": "Provide your Legal Entity Identifier if you have one:", "type": "text", "values": "Text, as typed by the filer; N/A and NONE appear", "gotchas": "Legal Entity Identifier, as typed by the filer. Filers also type N/A or NONE here, so check the format before using it. Blank in 13,924 of 17,210 rows.", "published": true }, { "column": "2A(1)", "normalized": "item_2a_1_large_advisory_firm", "formItem": "2.A(1)", "question": "are a large advisory firm that either: (a) has regulatory assets under management of $100 million (in U.S. dollars) or more; or (b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating amendment and is registered with the SEC;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(2)", "normalized": "item_2a_2_mid_sized_advisory_firm", "formItem": "2.A(2)", "question": "are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million (in U.S. dollars) and you are either:", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(4)", "normalized": "item_2a_4_principal_office_outside_us", "formItem": "2.A(4)", "question": "have your principal office and place of business outside the United States;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one. There is no 2A(3) column because Item 2.A.(3) is 'Reserved' on the form.", "published": true }, { "column": "2A(5)", "normalized": "item_2a_5_adviser_to_registered_fund", "formItem": "2.A(5)", "question": "are an investment adviser (or subadviser) to an investment company registered under the Investment Company Act of 1940;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(6)", "normalized": "item_2a_6_adviser_to_bdc", "formItem": "2.A(6)", "question": "are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(7)", "normalized": "item_2a_7_pension_consultant", "formItem": "2.A(7)", "question": "are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2(a);", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(8)", "normalized": "item_2a_8_related_adviser", "formItem": "2.A(8)", "question": "are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(9)", "normalized": "item_2a_9_expects_eligibility_120_days", "formItem": "2.A(9)", "question": "are an adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(10)", "normalized": "item_2a_10_multi_state_adviser", "formItem": "2.A(10)", "question": "are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d);", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(11)", "normalized": "item_2a_11_internet_adviser", "formItem": "2.A(11)", "question": "are an Internet adviser relying on rule 203A-2(e);", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(12)", "normalized": "item_2a_12_sec_exemptive_order", "formItem": "2.A(12)", "question": "have received an SEC order exempting you from the prohibition against registration with the SEC;", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one.", "published": true }, { "column": "2A(13)", "normalized": "item_2a_13_no_longer_eligible", "formItem": "2.A(13)", "question": "are no longer eligible to remain registered with the SEC.", "type": "bool", "values": "Y or N", "gotchas": "Which basis the firm relies on to be SEC-registered; a firm checks at least one. 71 rows are Y here, meaning the firm said it is no longer eligible to remain registered with the SEC.", "published": true }, { "column": "3A", "normalized": "item_3a_organization_form", "formItem": "3.A", "question": "How are you organized?", "type": "enum", "values": "Observed values: Corporation | Limited Liability Company | Limited Liability Partnership | Limited Partnership | Other (specify) | Partnership | Sole Proprietorship", "gotchas": "'Other (specify)' is described in the next column.", "published": true }, { "column": "3A-Other", "normalized": "item_3a_organization_other", "formItem": "3.A", "question": "Other (specify):", "type": "text", "values": null, "gotchas": "Free text; only for firms that picked Other. Blank in 16,912 of 17,210 rows.", "published": true }, { "column": "3B", "normalized": "item_3b_fiscal_year_end_month", "formItem": "3.B", "question": "In what month does your fiscal year end each year?", "type": "enum", "values": "Observed values: APRIL | AUGUST | DECEMBER | FEBRUARY | JANUARY | JULY | JUNE | MARCH | MAY | NOVEMBER | OCTOBER | SEPTEMBER", "gotchas": "Month name in capitals.", "published": true }, { "column": "3C-State", "normalized": "item_3c_organized_state", "formItem": "3.C", "question": "Under the laws of what state or country are you organized?", "type": "text", "values": null, "gotchas": "State code, blank for firms organized outside the US. For a sole proprietor it is the state where they live.", "published": true }, { "column": "3C-Country", "normalized": "item_3c_organized_country", "formItem": "3.C", "question": "Under the laws of what state or country are you organized?", "type": "text", "values": null, "gotchas": null, "published": true }, { "column": "4A", "normalized": "item_4a_succession", "formItem": "4.A", "question": "Are you, at the time of this filing, succeeding to the business of a registered investment adviser, including, for example, a change of your structure or legal status (e.g., form of organization or state of incorporation)?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "Acquired Firm", "normalized": "acquired_firm_name", "formItem": "Schedule D 4", "question": "Name of Acquired Firm", "type": "text", "values": null, "gotchas": "From Schedule D Section 4; filled only when 4A is Y (23 rows). Blank in 17,187 of 17,210 rows.", "published": true }, { "column": "Acquired Firm SEC#", "normalized": "acquired_firm_sec_number", "formItem": "Schedule D 4", "question": "Acquired Firm’s SEC File No. (if any)", "type": "text", "values": "801- followed by digits", "gotchas": "From Schedule D Section 4; 23 rows. Blank in 17,187 of 17,210 rows.", "published": true }, { "column": "Acquired Firm CRD#", "normalized": "acquired_firm_crd_number", "formItem": "Schedule D 4", "question": "Acquired Firm’s CRD Number", "type": "int", "values": "Whole number (identifier)", "gotchas": "From Schedule D Section 4; 23 rows. Blank in 17,187 of 17,210 rows.", "published": true }, { "column": "Total Number of Acquired Firms", "normalized": "acquired_firms_count", "formItem": "Schedule D 4", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC. It is 1 exactly when 4A is Y, otherwise 0.", "published": true }, { "column": "4B", "normalized": "item_4b_succession_date", "formItem": "4.B", "question": "Date of Succession:", "type": "date", "values": "MM/DD/YYYY", "gotchas": "Only filled when 4A is Y (23 rows). Blank in 17,187 of 17,210 rows.", "published": true }, { "column": "5A", "normalized": "item_5a_employees", "formItem": "5.A", "question": "Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.", "type": "int", "values": "Whole number", "gotchas": "Blank in 1 of 17,210 rows.", "published": true }, { "column": "5B(1)", "normalized": "item_5b_1_advisory_employees", "formItem": "5.B(1)", "question": "Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?", "type": "int", "values": "Whole number", "gotchas": "Counts of people, so one employee can be counted in several of 5B(1) to 5B(5). Blank in 1 of 17,210 rows.", "published": true }, { "column": "5B(2)", "normalized": "item_5b_2_broker_dealer_reps", "formItem": "5.B(2)", "question": "Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?", "type": "int", "values": "Whole number", "gotchas": "Counts of people, so one employee can be counted in several of 5B(1) to 5B(5). Blank in 1 of 17,210 rows.", "published": true }, { "column": "5B(3)", "normalized": "item_5b_3_iar_employees", "formItem": "5.B(3)", "question": "Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives?", "type": "int", "values": "Whole number", "gotchas": "Counts of people, so one employee can be counted in several of 5B(1) to 5B(5). Blank in 1 of 17,210 rows.", "published": true }, { "column": "5B(4)", "normalized": "item_5b_4_iar_for_other_adviser", "formItem": "5.B(4)", "question": "Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you?", "type": "int", "values": "Whole number", "gotchas": "Counts of people, so one employee can be counted in several of 5B(1) to 5B(5). Blank in 1 of 17,210 rows.", "published": true }, { "column": "5B(5)", "normalized": "item_5b_5_insurance_agents", "formItem": "5.B(5)", "question": "Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency?", "type": "int", "values": "Whole number", "gotchas": "Counts of people, so one employee can be counted in several of 5B(1) to 5B(5). Blank in 1 of 17,210 rows.", "published": true }, { "column": "5B(6)", "normalized": "item_5b_6_solicitors", "formItem": "5.B(6)", "question": "Approximately how many firms or other persons solicit advisory clients on your behalf?", "type": "int", "values": "Whole number", "gotchas": "Counts firms or other persons, not employees. Blank in 1 of 17,210 rows.", "published": true }, { "column": "5C(1)", "normalized": "item_5c_1_clients_without_raum", "formItem": "5.C(1)", "question": "To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services during your most recently completed fiscal year?", "type": "masked-int", "values": "Whole number (space-padded); 2 rows hold the text ' 11-25' instead", "gotchas": "Clients that have no regulatory assets under management. Two rows hold a band (' 11-25') instead of a number.", "published": true }, { "column": "5C(1)-If more than 100, how many", "normalized": "item_5c_1_if_over_100", "formItem": "5.C(1)", "question": null, "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing", "gotchas": "Legacy column: the current form has no 'if more than 100' follow-up. Only 2 rows hold a value (both 0). Blank in 17,208 of 17,210 rows.", "published": true }, { "column": "5C(2)", "normalized": "item_5c_2_pct_non_us_clients", "formItem": "5.C(2)", "question": "Approximately what percentage of your clients are non-United States persons?", "type": "int", "values": "Whole number", "gotchas": "A whole-number percentage. Blank in 1 of 17,210 rows.", "published": true }, { "column": "5D(1)(a)", "normalized": "legacy_5d_1_a", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Individuals (other than high net worth individuals). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(b)", "normalized": "legacy_5d_1_b", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: High net worth individuals. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(c)", "normalized": "legacy_5d_1_c", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Banking or thrift institutions. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(d)", "normalized": "legacy_5d_1_d", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Investment companies. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(e)", "normalized": "legacy_5d_1_e", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Business development companies. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(f)", "normalized": "legacy_5d_1_f", "formItem": null, "question": null, "type": "enum", "values": "Observed values: Up to 10 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Pooled investment vehicles (other than investment companies and business development companies). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(g)", "normalized": "legacy_5d_1_g", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 76-99 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Pension and profit sharing plans (but not the plan participants or government pension plans). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(h)", "normalized": "legacy_5d_1_h", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Charitable organizations. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(i)", "normalized": "legacy_5d_1_i", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: State or municipal government entities (including government pension plans). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(j)", "normalized": "legacy_5d_1_j", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Other investment advisers. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(k)", "normalized": "legacy_5d_1_k", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Insurance companies. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(l)", "normalized": "legacy_5d_1_l", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Sovereign wealth funds and foreign official institutions. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(m)", "normalized": "legacy_5d_1_m", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Corporations or other businesses not listed above. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(1)(m)-Other", "normalized": "legacy_5d_1_m_other", "formItem": null, "question": null, "type": "text", "values": null, "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. This sub-column is empty in every row. Empty in every row of this file.", "published": true }, { "column": "5D(2)(a)", "normalized": "legacy_5d_2_a", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Individuals (other than high net worth individuals). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(b)", "normalized": "legacy_5d_2_b", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: High net worth individuals. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(c)", "normalized": "legacy_5d_2_c", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Banking or thrift institutions. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(d)", "normalized": "legacy_5d_2_d", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Investment companies. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(e)", "normalized": "legacy_5d_2_e", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Business development companies. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(f)", "normalized": "legacy_5d_2_f", "formItem": null, "question": null, "type": "enum", "values": "Observed values: Up to 50 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Pooled investment vehicles (other than investment companies and business development companies). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(g)", "normalized": "legacy_5d_2_g", "formItem": null, "question": null, "type": "enum", "values": "Observed values: Up to 75 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Pension and profit sharing plans (but not the plan participants or government pension plans). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(h)", "normalized": "legacy_5d_2_h", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Charitable organizations. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(i)", "normalized": "legacy_5d_2_i", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: State or municipal government entities (including government pension plans). Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(j)", "normalized": "legacy_5d_2_j", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Other investment advisers. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(k)", "normalized": "legacy_5d_2_k", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Insurance companies. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(l)", "normalized": "legacy_5d_2_l", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Sovereign wealth funds and foreign official institutions. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(m)", "normalized": "legacy_5d_2_m", "formItem": null, "question": null, "type": "enum", "values": "Observed values: 0 percent", "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. Header name suggests client type: Corporations or other businesses not listed above. Blank in 17,209 of 17,210 rows.", "published": true }, { "column": "5D(2)(m)-Other", "normalized": "legacy_5d_2_m_other", "formItem": null, "question": null, "type": "text", "values": null, "gotchas": "No matching question in the Form ADV Part 1A text we use; the SEC does not say why the column exists. Only one of 17,210 rows has a value; ignore it for any analysis. This sub-column is empty in every row. Empty in every row of this file.", "published": true }, { "column": "5D(a)(1)", "normalized": "item_5d_a_clients", "formItem": "5.D(a)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type a: Individuals (other than high net worth individuals). Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(a)(2)", "normalized": "item_5d_a_fewer_than_5", "formItem": "5.D(a)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type a: Individuals (other than high net worth individuals). Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(a)(3)", "normalized": "item_5d_a_raum", "formItem": "5.D(a)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type a: Individuals (other than high net worth individuals). Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 6,134 of 17,210 rows.", "published": true }, { "column": "5D(b)(1)", "normalized": "item_5d_b_clients", "formItem": "5.D(b)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type b: High net worth individuals. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(b)(2)", "normalized": "item_5d_b_fewer_than_5", "formItem": "5.D(b)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type b: High net worth individuals. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(b)(3)", "normalized": "item_5d_b_raum", "formItem": "5.D(b)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type b: High net worth individuals. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 5,608 of 17,210 rows.", "published": true }, { "column": "5D(c)(1)", "normalized": "item_5d_c_clients", "formItem": "5.D(c)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type c: Banking or thrift institutions. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(c)(2)", "normalized": "item_5d_c_fewer_than_5", "formItem": "5.D(c)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type c: Banking or thrift institutions. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(c)(3)", "normalized": "item_5d_c_raum", "formItem": "5.D(c)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type c: Banking or thrift institutions. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 12,208 of 17,210 rows.", "published": true }, { "column": "5D(d)(1)", "normalized": "item_5d_d_clients", "formItem": "5.D(d)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type d: Investment companies. Number of clients. Blank in 10,881 of 17,210 rows.", "published": true }, { "column": "5D(d)(3)", "normalized": "item_5d_d_raum", "formItem": "5.D(d)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type d: Investment companies. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 11,347 of 17,210 rows.", "published": true }, { "column": "5D(e)(1)", "normalized": "item_5d_e_clients", "formItem": "5.D(e)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type e: Business development companies. Number of clients. Blank in 11,806 of 17,210 rows.", "published": true }, { "column": "5D(e)(3)", "normalized": "item_5d_e_raum", "formItem": "5.D(e)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type e: Business development companies. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 12,333 of 17,210 rows.", "published": true }, { "column": "5D(f)(1)", "normalized": "item_5d_f_clients", "formItem": "5.D(f)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type f: Pooled investment vehicles (other than investment companies and business development companies). Number of clients. Blank in 7,062 of 17,210 rows.", "published": true }, { "column": "5D(f)(3)", "normalized": "item_5d_f_raum", "formItem": "5.D(f)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type f: Pooled investment vehicles (other than investment companies and business development companies). Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 7,328 of 17,210 rows.", "published": true }, { "column": "5D(g)(1)", "normalized": "item_5d_g_clients", "formItem": "5.D(g)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type g: Pension and profit sharing plans (but not the plan participants or government pension plans). Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(g)(2)", "normalized": "item_5d_g_fewer_than_5", "formItem": "5.D(g)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type g: Pension and profit sharing plans (but not the plan participants or government pension plans). Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(g)(3)", "normalized": "item_5d_g_raum", "formItem": "5.D(g)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type g: Pension and profit sharing plans (but not the plan participants or government pension plans). Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 9,246 of 17,210 rows.", "published": true }, { "column": "5D(h)(1)", "normalized": "item_5d_h_clients", "formItem": "5.D(h)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type h: Charitable organizations. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(h)(2)", "normalized": "item_5d_h_fewer_than_5", "formItem": "5.D(h)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type h: Charitable organizations. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(h)(3)", "normalized": "item_5d_h_raum", "formItem": "5.D(h)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type h: Charitable organizations. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 8,904 of 17,210 rows.", "published": true }, { "column": "5D(i)(1)", "normalized": "item_5d_i_clients", "formItem": "5.D(i)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type i: State or municipal government entities (including government pension plans). Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(i)(2)", "normalized": "item_5d_i_fewer_than_5", "formItem": "5.D(i)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type i: State or municipal government entities (including government pension plans). Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(i)(3)", "normalized": "item_5d_i_raum", "formItem": "5.D(i)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type i: State or municipal government entities (including government pension plans). Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 11,794 of 17,210 rows.", "published": true }, { "column": "5D(j)(1)", "normalized": "item_5d_j_clients", "formItem": "5.D(j)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type j: Other investment advisers. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(j)(2)", "normalized": "item_5d_j_fewer_than_5", "formItem": "5.D(j)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type j: Other investment advisers. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(j)(3)", "normalized": "item_5d_j_raum", "formItem": "5.D(j)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type j: Other investment advisers. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 11,887 of 17,210 rows.", "published": true }, { "column": "5D(k)(1)", "normalized": "item_5d_k_clients", "formItem": "5.D(k)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type k: Insurance companies. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(k)(2)", "normalized": "item_5d_k_fewer_than_5", "formItem": "5.D(k)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type k: Insurance companies. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(k)(3)", "normalized": "item_5d_k_raum", "formItem": "5.D(k)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type k: Insurance companies. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 11,871 of 17,210 rows.", "published": true }, { "column": "5D(l)(1)", "normalized": "item_5d_l_clients", "formItem": "5.D(l)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type l: Sovereign wealth funds and foreign official institutions. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(l)(2)", "normalized": "item_5d_l_fewer_than_5", "formItem": "5.D(l)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type l: Sovereign wealth funds and foreign official institutions. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(l)(3)", "normalized": "item_5d_l_raum", "formItem": "5.D(l)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type l: Sovereign wealth funds and foreign official institutions. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 12,256 of 17,210 rows.", "published": true }, { "column": "5D(m)(1)", "normalized": "item_5d_m_clients", "formItem": "5.D(m)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type m: Corporations or other businesses not listed above. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(m)(2)", "normalized": "item_5d_m_fewer_than_5", "formItem": "5.D(m)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type m: Corporations or other businesses not listed above. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(m)(3)", "normalized": "item_5d_m_raum", "formItem": "5.D(m)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type m: Corporations or other businesses not listed above. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 8,787 of 17,210 rows.", "published": true }, { "column": "5D(n)(1)", "normalized": "item_5d_n_clients", "formItem": "5.D(n)(1)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "int", "values": "Whole number", "gotchas": "Client type n: Other. Number of clients. If the firm checks the 'fewer than 5 clients' box (the (2) column), this count may be blank or hold the 0 to 4 actual count; both occur.", "published": true }, { "column": "5D(n)(2)", "normalized": "item_5d_n_fewer_than_5", "formItem": "5.D(n)(2)", "question": "If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).", "type": "enum", "values": "Observed values: Fewer than 5 clients", "gotchas": "Client type n: Other. Holds the text 'Fewer than 5 clients' when ticked, blank otherwise. Boxes (d), (e) and (f) have no such option on the form.", "published": true }, { "column": "5D(n)(3)", "normalized": "item_5d_n_raum", "formItem": "5.D(n)(3)", "question": "Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Client type n: Other. Regulatory assets under management in US dollars. The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below. Blank in 12,066 of 17,210 rows.", "published": true }, { "column": "5D(n)(3) - Other", "normalized": "item_5d_n_other_description", "formItem": "5.D(n)", "question": "(n) Other:", "type": "text", "values": null, "gotchas": "Free text describing the 'Other' client type. Blank in 15,747 of 17,210 rows.", "published": true }, { "column": "5E(1)", "normalized": "item_5e_1_pct_of_assets", "formItem": "5.E(1)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 1: A percentage of assets under your management.", "published": true }, { "column": "5E(2)", "normalized": "item_5e_2_hourly", "formItem": "5.E(2)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 2: Hourly charges.", "published": true }, { "column": "5E(3)", "normalized": "item_5e_3_subscription", "formItem": "5.E(3)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 3: Subscription fees (for a newsletter or periodical).", "published": true }, { "column": "5E(4)", "normalized": "item_5e_4_fixed", "formItem": "5.E(4)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 4: Fixed fees (other than subscription fees).", "published": true }, { "column": "5E(5)", "normalized": "item_5e_5_commissions", "formItem": "5.E(5)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 5: Commissions.", "published": true }, { "column": "5E(6)", "normalized": "item_5e_6_performance", "formItem": "5.E(6)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 6: Performance-based fees.", "published": true }, { "column": "5E(7)", "normalized": "item_5e_7_other", "formItem": "5.E(7)", "question": "You are compensated for your investment advisory services by (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 7: Other (specify).", "published": true }, { "column": "5E(7)-Other", "normalized": "item_5e_7_other_description", "formItem": "5.E(7)", "question": "Other (specify):", "type": "text", "values": null, "gotchas": "Free text for option 7. Filled for 2,404 rows. Blank in 14,806 of 17,210 rows.", "published": true }, { "column": "5F(1)", "normalized": "item_5f_1_continuous_management", "formItem": "5.F(1)", "question": "Do you provide continuous and regular supervisory or management services to securities portfolios?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "5F(2)(a)", "normalized": "item_5f_2_discretionary_raum", "formItem": "5.F(2)(a)", "question": "If yes, what is the amount of your regulatory assets under management and total number of accounts?", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "(a) Discretionary regulatory assets under management, US dollars. The headline 'assets under management' figure is (c). Filled in for every row. Firms that answered No to 5F(1) (358 rows) have `.00`; a money zero is written `.00`.", "published": true }, { "column": "5F(2)(b)", "normalized": "item_5f_2_non_discretionary_raum", "formItem": "5.F(2)(b)", "question": "If yes, what is the amount of your regulatory assets under management and total number of accounts?", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "(b) Non-discretionary regulatory assets under management, US dollars. The headline 'assets under management' figure is (c). Filled in for every row. Firms that answered No to 5F(1) (358 rows) have `.00`; a money zero is written `.00`.", "published": true }, { "column": "5F(2)(c)", "normalized": "item_5f_2_total_raum", "formItem": "5.F(2)(c)", "question": "If yes, what is the amount of your regulatory assets under management and total number of accounts?", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "(c) Total regulatory assets under management, US dollars. The headline 'assets under management' figure is (c). Filled in for every row. Firms that answered No to 5F(1) (358 rows) have `.00`; a money zero is written `.00`.", "published": true }, { "column": "5F(2)(d)", "normalized": "item_5f_2_discretionary_accounts", "formItem": "5.F(2)(d)", "question": "If yes, what is the amount of your regulatory assets under management and total number of accounts?", "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing; may contain thousands separators", "gotchas": "(d) Discretionary accounts, number. The headline 'assets under management' figure is (c). Filled in for every row. Firms that answered No to 5F(1) (358 rows) have `0`.", "published": true }, { "column": "5F(2)(e)", "normalized": "item_5f_2_non_discretionary_accounts", "formItem": "5.F(2)(e)", "question": "If yes, what is the amount of your regulatory assets under management and total number of accounts?", "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing; may contain thousands separators", "gotchas": "(e) Non-discretionary accounts, number. The headline 'assets under management' figure is (c). Filled in for every row. Firms that answered No to 5F(1) (358 rows) have `0`.", "published": true }, { "column": "5F(2)(f)", "normalized": "item_5f_2_total_accounts", "formItem": "5.F(2)(f)", "question": "If yes, what is the amount of your regulatory assets under management and total number of accounts?", "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing; may contain thousands separators", "gotchas": "(f) Total accounts, number. The headline 'assets under management' figure is (c). Filled in for every row. Firms that answered No to 5F(1) (358 rows) have `0`.", "published": true }, { "column": "5F(3)", "normalized": "item_5f_3_raum_non_us_clients", "formItem": "5.F(3)", "question": "What is the approximate amount of your total regulatory assets under management (reported in Item 5.F.(2)(c) above) attributable to clients who are non-United States persons?", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "US dollars. Blank in 360 of 17,210 rows, including all 358 firms that answered No to 5F(1).", "published": true }, { "column": "5G(1)", "normalized": "item_5g_1_financial_planning", "formItem": "5.G(1)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 1: Financial planning services.", "published": true }, { "column": "5G(2)", "normalized": "item_5g_2_portfolio_mgmt_individuals", "formItem": "5.G(2)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 2: Portfolio management for individuals and/or small businesses.", "published": true }, { "column": "5G(3)", "normalized": "item_5g_3_portfolio_mgmt_investment_cos", "formItem": "5.G(3)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 3: Portfolio management for investment companies (as well as business development companies).", "published": true }, { "column": "5.G.(3) - Total number of RICs or BDCs", "normalized": "item_5g_3_rics_bdcs_count", "formItem": "Schedule D 5.G.(3)", "question": "If you check Item 5.G.(3), what is the SEC file number (811 or 814 number) of each of the registered investment companies and business development companies to which you act as an adviser pursuant to an advisory contract?", "type": "int", "values": "Whole number", "gotchas": "Derived count: how many 811/814 file numbers the firm listed on Schedule D. Filled exactly for the 1,615 firms with 5G(3) = Y. Blank in 15,595 of 17,210 rows.", "published": true }, { "column": "5.G.(3) - Total amount of Parallel Assets", "normalized": "item_5g_3_parallel_assets", "formItem": "Schedule D 5.G.(3)", "question": "Provide the regulatory assets under management of all parallel managed accounts related to a registered investment company (or series thereof) or business development company that you advise.", "type": "money", "values": "US dollars; no padding, no thousands separators and no decimal point (a plain whole-dollar number), unlike the other money columns", "gotchas": "US dollars. Unlike the other money columns this one has no '.00' and no padding. Filled for 349 rows. Blank in 16,861 of 17,210 rows.", "published": true }, { "column": "5G(4)", "normalized": "item_5g_4_portfolio_mgmt_pooled_vehicles", "formItem": "5.G(4)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 4: Portfolio management for pooled investment vehicles (other than investment companies).", "published": true }, { "column": "5G(5)", "normalized": "item_5g_5_portfolio_mgmt_institutional", "formItem": "5.G(5)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 5: Portfolio management for businesses (other than small businesses) or institutional clients.", "published": true }, { "column": "5G(6)", "normalized": "item_5g_6_pension_consulting", "formItem": "5.G(6)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 6: Pension consulting services.", "published": true }, { "column": "5G(7)", "normalized": "item_5g_7_selection_of_advisers", "formItem": "5.G(7)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 7: Selection of other advisers (including private fund managers).", "published": true }, { "column": "5G(8)", "normalized": "item_5g_8_publications", "formItem": "5.G(8)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 8: Publication of periodicals or newsletters.", "published": true }, { "column": "5G(9)", "normalized": "item_5g_9_ratings_pricing", "formItem": "5.G(9)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 9: Security ratings or pricing services.", "published": true }, { "column": "5G(10)", "normalized": "item_5g_10_market_timing", "formItem": "5.G(10)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 10: Market timing services.", "published": true }, { "column": "5G(11)", "normalized": "item_5g_11_seminars", "formItem": "5.G(11)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 11: Educational seminars/workshops.", "published": true }, { "column": "5G(12)", "normalized": "item_5g_12_other", "formItem": "5.G(12)", "question": "What type(s) of advisory services do you provide? Check all that apply.", "type": "bool", "values": "Y or N", "gotchas": "Option 12: Other (specify).", "published": true }, { "column": "5G(12)-Other", "normalized": "item_5g_12_other_description", "formItem": "5.G(12)", "question": "Other (specify):", "type": "text", "values": null, "gotchas": "Free text for option 12. Filled for 2,554 rows. Blank in 14,656 of 17,210 rows.", "published": true }, { "column": "5H", "normalized": "item_5h_financial_planning_clients", "formItem": "5.H", "question": "If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?", "type": "enum", "values": "Observed values: 0 | 1-10 | 101-250 | 11-25 | 251-500 | 26-50 | 51-100 | More than 500", "gotchas": "A band, not a number, with a leading space (' 1-10'). A cell holding a single space means not asked (7,219 rows): 7,216 of them have 5G(1) N, and 5H is asked of firms that provide financial planning. The other 3 have 5G(1) Y with no answer. 2,014 rows with 5G(1) N still hold a band. Bands: 0, 1-10, 11-25, 26-50, 51-100, 101-250, 251-500, More than 500. Blank in 7,219 of 17,210 rows.", "published": true }, { "column": "5H-If more than 500, how many", "normalized": "item_5h_if_over_500", "formItem": "5.H", "question": "If more than 500, how many?", "type": "int", "values": "Whole number", "gotchas": "Rounded to the nearest 500 by the filer. Blank in 16,621 of 17,210 rows.", "published": true }, { "column": "5I(1)", "normalized": "item_5i_1_wrap_fee_program", "formItem": "5.I(1)", "question": "Do you participate in a wrap fee program?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 2 of 17,210 rows.", "published": true }, { "column": "5I(2)(a)", "normalized": "item_5i_2_sponsor_raum", "formItem": "5.I(2)(a)", "question": "If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Role: (a) sponsor to a wrap fee program. US dollars. Filled for 2,038 rows. The form says an amount in (c) must not also be counted in (a) or (b). Blank in 15,172 of 17,210 rows.", "published": true }, { "column": "5I(2)(b)", "normalized": "item_5i_2_portfolio_manager_raum", "formItem": "5.I(2)(b)", "question": "If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Role: (b) portfolio manager for a wrap fee program. US dollars. Filled for 2,038 rows. The form says an amount in (c) must not also be counted in (a) or (b). Blank in 15,172 of 17,210 rows.", "published": true }, { "column": "5I(2)(c)", "normalized": "item_5i_2_sponsor_and_manager_raum", "formItem": "5.I(2)(c)", "question": "If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Role: (c) sponsor to and portfolio manager for the same wrap fee program. US dollars. Filled for 2,038 rows. The form says an amount in (c) must not also be counted in (a) or (b). Blank in 15,172 of 17,210 rows.", "published": true }, { "column": "5.I.(2) - Total number of wrap fee programs", "normalized": "item_5i_2_wrap_programs_count", "formItem": "Schedule D 5.I.(2)", "question": "If you are a portfolio manager for one or more wrap fee programs, list the name of each program and its sponsor.", "type": "int", "values": "Whole number", "gotchas": "Derived count of programs listed on Schedule D. Blank for 112 firms that answered 5I(1) = Y but listed none.", "published": true }, { "column": "5J(1)", "normalized": "item_5j_1_limited_investment_types", "formItem": "5.J(1)", "question": "In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 1 of 17,210 rows.", "published": true }, { "column": "5J(2)", "normalized": "item_5j_2_different_asset_method", "formItem": "5.J(2)", "question": "Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory assets under management?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 2 of 17,210 rows.", "published": true }, { "column": "5K(1)", "normalized": "item_5k_1_separately_managed_accounts", "formItem": "5.K(1)", "question": "Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed account clients)?", "type": "bool", "values": "Y or N", "gotchas": "Y means the file also holds the Schedule D 5.K.(1) asset-mix columns that follow: the (a) set (mid-year plus end of year) for firms whose separately managed account assets are at least $10 billion, the (b) set (end of year only) for the rest. Blank in 2 of 17,210 rows.", "published": true }, { "column": "5.K.(1)(a)(i) midyear percentage", "normalized": "item_5k_1_a_i_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(i)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (i): Exchange-Traded Equity Securities. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(ii) midyear percentage", "normalized": "item_5k_1_a_ii_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(ii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (ii): Non Exchange-Traded Equity Securities. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(iii) midyear percentage", "normalized": "item_5k_1_a_iii_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(iii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (iii): U.S. Government/Agency Bonds. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(iv) midyear percentage", "normalized": "item_5k_1_a_iv_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(iv)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (iv): U.S. State and Local Bonds. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(v) midyear percentage", "normalized": "item_5k_1_a_v_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(v)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (v): Sovereign Bonds. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(vi) midyear percentage", "normalized": "item_5k_1_a_vi_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(vi)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (vi): Investment Grade Corporate Bonds. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(vii) midyear percentage", "normalized": "item_5k_1_a_vii_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(vii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (vii): Non-Investment Grade Corporate Bonds. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(viii) midyear percentage", "normalized": "item_5k_1_a_viii_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(viii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (viii): Derivatives. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(ix) midyear percentage", "normalized": "item_5k_1_a_ix_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(ix)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (ix): Securities Issued by Registered Investment Companies or Business Development Companies. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(x) midyear percentage", "normalized": "item_5k_1_a_x_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(x)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (x): Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies). Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(xi) midyear percentage", "normalized": "item_5k_1_a_xi_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(xi)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (xi): Cash and Cash Equivalents. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(xii) midyear percentage", "normalized": "item_5k_1_a_xii_mid_pct", "formItem": "Schedule D 5.K.(1)(a)(xii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (xii): Other. Percentage at mid-year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(i) end year percentage", "normalized": "item_5k_1_a_i_end_pct", "formItem": "Schedule D 5.K.(1)(a)(i)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (i): Exchange-Traded Equity Securities. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(ii) end year percentage", "normalized": "item_5k_1_a_ii_end_pct", "formItem": "Schedule D 5.K.(1)(a)(ii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (ii): Non Exchange-Traded Equity Securities. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(iii) end year percentage", "normalized": "item_5k_1_a_iii_end_pct", "formItem": "Schedule D 5.K.(1)(a)(iii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (iii): U.S. Government/Agency Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(iv) end year percentage", "normalized": "item_5k_1_a_iv_end_pct", "formItem": "Schedule D 5.K.(1)(a)(iv)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (iv): U.S. State and Local Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(v) end year percentage", "normalized": "item_5k_1_a_v_end_pct", "formItem": "Schedule D 5.K.(1)(a)(v)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (v): Sovereign Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(vi) end year percentage", "normalized": "item_5k_1_a_vi_end_pct", "formItem": "Schedule D 5.K.(1)(a)(vi)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (vi): Investment Grade Corporate Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(vii) end year percentage", "normalized": "item_5k_1_a_vii_end_pct", "formItem": "Schedule D 5.K.(1)(a)(vii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (vii): Non-Investment Grade Corporate Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(viii) end year percentage", "normalized": "item_5k_1_a_viii_end_pct", "formItem": "Schedule D 5.K.(1)(a)(viii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (viii): Derivatives. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(ix) end year percentage", "normalized": "item_5k_1_a_ix_end_pct", "formItem": "Schedule D 5.K.(1)(a)(ix)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (ix): Securities Issued by Registered Investment Companies or Business Development Companies. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(x) end year percentage", "normalized": "item_5k_1_a_x_end_pct", "formItem": "Schedule D 5.K.(1)(a)(x)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (x): Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies). Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(xi) end year percentage", "normalized": "item_5k_1_a_xi_end_pct", "formItem": "Schedule D 5.K.(1)(a)(xi)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (xi): Cash and Cash Equivalents. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(xii) end year percentage", "normalized": "item_5k_1_a_xii_end_pct", "formItem": "Schedule D 5.K.(1)(a)(xii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (xii): Other. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(a)(xii) - Other description", "normalized": "item_5k_1_a_xii_other_description", "formItem": "Schedule D 5.K.(1)(a)(xii)", "question": "Generally describe any assets included in “Other”", "type": "text", "values": null, "gotchas": "Free text. This (xii) description exists in the (a) set only. Blank in 16,893 of 17,210 rows.", "published": true }, { "column": "5.K.(1)(b)(i) end year percentage", "normalized": "item_5k_1_b_i_end_pct", "formItem": "Schedule D 5.K.(1)(b)(i)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (i): Exchange-Traded Equity Securities. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(ii) end year percentage", "normalized": "item_5k_1_b_ii_end_pct", "formItem": "Schedule D 5.K.(1)(b)(ii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (ii): Non Exchange-Traded Equity Securities. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(iii) end year percentage", "normalized": "item_5k_1_b_iii_end_pct", "formItem": "Schedule D 5.K.(1)(b)(iii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (iii): U.S. Government/Agency Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(iv) end year percentage", "normalized": "item_5k_1_b_iv_end_pct", "formItem": "Schedule D 5.K.(1)(b)(iv)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (iv): U.S. State and Local Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(v) end year percentage", "normalized": "item_5k_1_b_v_end_pct", "formItem": "Schedule D 5.K.(1)(b)(v)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (v): Sovereign Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(vi) end year percentage", "normalized": "item_5k_1_b_vi_end_pct", "formItem": "Schedule D 5.K.(1)(b)(vi)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (vi): Investment Grade Corporate Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(vii) end year percentage", "normalized": "item_5k_1_b_vii_end_pct", "formItem": "Schedule D 5.K.(1)(b)(vii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (vii): Non-Investment Grade Corporate Bonds. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(viii) end year percentage", "normalized": "item_5k_1_b_viii_end_pct", "formItem": "Schedule D 5.K.(1)(b)(viii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (viii): Derivatives. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(ix) end year percentage", "normalized": "item_5k_1_b_ix_end_pct", "formItem": "Schedule D 5.K.(1)(b)(ix)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (ix): Securities Issued by Registered Investment Companies or Business Development Companies. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(x) end year percentage", "normalized": "item_5k_1_b_x_end_pct", "formItem": "Schedule D 5.K.(1)(b)(x)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (x): Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies). Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(xi) end year percentage", "normalized": "item_5k_1_b_xi_end_pct", "formItem": "Schedule D 5.K.(1)(b)(xi)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (xi): Cash and Cash Equivalents. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(xii) end year percentage", "normalized": "item_5k_1_b_xii_end_pct", "formItem": "Schedule D 5.K.(1)(b)(xii)", "question": "After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following categories of assets.", "type": "int", "values": "Whole number", "gotchas": "Asset type (xii): Other. Percentage at end of year, rounded to the nearest percent; each column should add to 100. Set (a) is for firms with at least $10 billion of separately managed account assets (mid-year and end of year); set (b) is for firms with less (end of year only). Blank when the other set applies.", "published": true }, { "column": "5.K.(1)(b)(xii) - Other description", "normalized": "item_5k_1_b_xii_other_description", "formItem": "Schedule D 5.K.(1)(b)(xii)", "question": "Generally describe any assets included in “Other”", "type": "text", "values": null, "gotchas": "Free text. This (xii) description exists in the (b) set only. Blank in 14,262 of 17,210 rows.", "published": true }, { "column": "5K(2)", "normalized": "item_5k_2_borrowing", "formItem": "5.K(2)", "question": "Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise?", "type": "bool", "values": "Y or N", "gotchas": "A Y points to Schedule D 5.K.(2), which the form asks only of firms with separately managed account assets of at least $500 million. Of 3,256 firms with a Y on 5K(2) or 5K(3), 2,126 have no 5.K.(2) column filled. Blank in 2,499 of 17,210 rows.", "published": true }, { "column": "5K(3)", "normalized": "item_5k_3_derivatives", "formItem": "5.K(3)", "question": "Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise?", "type": "bool", "values": "Y or N", "gotchas": "A Y points to Schedule D 5.K.(2), which the form asks only of firms with separately managed account assets of at least $500 million. Of 3,256 firms with a Y on 5K(2) or 5K(3), 2,126 have no 5.K.(2) column filled. Blank in 2,507 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(1) less 10", "normalized": "item_5k_2_a_mid_c1_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,875 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(1) 10-149", "normalized": "item_5k_2_a_mid_c1_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,886 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(1) over 150", "normalized": "item_5k_2_a_mid_c1_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,971 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(2) less 10", "normalized": "item_5k_2_a_mid_c2_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,918 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(2) 10-149", "normalized": "item_5k_2_a_mid_c2_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,937 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(2) over 150", "normalized": "item_5k_2_a_mid_c2_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,986 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(a) less 10 percentage ", "normalized": "item_5k_2_a_mid_c3_a_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: derivative exposure (interest rate derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,970 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(b) less 10 percentage ", "normalized": "item_5k_2_a_mid_c3_b_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: derivative exposure (foreign exchange derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,962 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(c) less 10 percentage ", "normalized": "item_5k_2_a_mid_c3_c_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: derivative exposure (credit derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,980 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(d) less 10 percentage ", "normalized": "item_5k_2_a_mid_c3_d_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: derivative exposure (equity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,935 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(e) less10 percentage ", "normalized": "item_5k_2_a_mid_c3_e_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: derivative exposure (commodity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,991 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(f) less 10 percentage ", "normalized": "item_5k_2_a_mid_c3_f_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, mid-year: derivative exposure (other derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,986 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(a) 10-149 percentage ", "normalized": "item_5k_2_a_mid_c3_a_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: derivative exposure (interest rate derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,977 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(b) 10-149 percentage ", "normalized": "item_5k_2_a_mid_c3_b_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: derivative exposure (foreign exchange derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,964 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(c) 10-149 percentage ", "normalized": "item_5k_2_a_mid_c3_c_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: derivative exposure (credit derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,990 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(d) 10-149 percentage ", "normalized": "item_5k_2_a_mid_c3_d_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: derivative exposure (equity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,947 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(e) 10-149 percentage ", "normalized": "item_5k_2_a_mid_c3_e_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: derivative exposure (commodity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,998 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(f) 10-149 percentage ", "normalized": "item_5k_2_a_mid_c3_f_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, mid-year: derivative exposure (other derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,993 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(a) over 150 percentage ", "normalized": "item_5k_2_a_mid_c3_a_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: derivative exposure (interest rate derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,011 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(b) over 150 percentage ", "normalized": "item_5k_2_a_mid_c3_b_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: derivative exposure (foreign exchange derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,006 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(c) over 150 percentage ", "normalized": "item_5k_2_a_mid_c3_c_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: derivative exposure (credit derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,015 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(d) over 150 percentage ", "normalized": "item_5k_2_a_mid_c3_d_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: derivative exposure (equity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,996 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(e) over 150 percentage ", "normalized": "item_5k_2_a_mid_c3_e_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: derivative exposure (commodity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,017 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(i)(3)(f) over 150 percentage ", "normalized": "item_5k_2_a_mid_c3_f_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, mid-year: derivative exposure (other derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,017 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(1) less 10", "normalized": "item_5k_2_a_end_c1_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,842 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(1) 10-149", "normalized": "item_5k_2_a_end_c1_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,865 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(1) over 150", "normalized": "item_5k_2_a_end_c1_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,954 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(2) less 10", "normalized": "item_5k_2_a_end_c2_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,897 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(2) 10-149", "normalized": "item_5k_2_a_end_c2_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,908 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(2) over 150", "normalized": "item_5k_2_a_end_c2_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,964 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(a) less 10 percentage ", "normalized": "item_5k_2_a_end_c3_a_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: derivative exposure (interest rate derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,955 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(b) less 10 percentage ", "normalized": "item_5k_2_a_end_c3_b_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: derivative exposure (foreign exchange derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,949 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(c) less 10 percentage ", "normalized": "item_5k_2_a_end_c3_c_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: derivative exposure (credit derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,965 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(d) less 10 percentage ", "normalized": "item_5k_2_a_end_c3_d_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: derivative exposure (equity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,914 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(e) less10 percentage ", "normalized": "item_5k_2_a_end_c3_e_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: derivative exposure (commodity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,977 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(f) less 10 percentage ", "normalized": "item_5k_2_a_end_c3_f_lt10", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: derivative exposure (other derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,973 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(a) 10-149 percentage ", "normalized": "item_5k_2_a_end_c3_a_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: derivative exposure (interest rate derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,964 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(b) 10-149 percentage ", "normalized": "item_5k_2_a_end_c3_b_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: derivative exposure (foreign exchange derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,954 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(c) 10-149 percentage ", "normalized": "item_5k_2_a_end_c3_c_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: derivative exposure (credit derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,979 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(d) 10-149 percentage ", "normalized": "item_5k_2_a_end_c3_d_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: derivative exposure (equity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,934 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(e) 10-149 percentage ", "normalized": "item_5k_2_a_end_c3_e_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: derivative exposure (commodity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,977 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(f) 10-149 percentage ", "normalized": "item_5k_2_a_end_c3_f_10_149", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: derivative exposure (other derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,973 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(a) over 150 percentage ", "normalized": "item_5k_2_a_end_c3_a_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: derivative exposure (interest rate derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,005 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(b) over 150 percentage ", "normalized": "item_5k_2_a_end_c3_b_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: derivative exposure (foreign exchange derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,998 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(c) over 150 percentage ", "normalized": "item_5k_2_a_end_c3_c_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: derivative exposure (credit derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,007 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(d) over 150 percentage ", "normalized": "item_5k_2_a_end_c3_d_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: derivative exposure (equity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 16,986 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(e) over 150 percentage ", "normalized": "item_5k_2_a_end_c3_e_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: derivative exposure (commodity derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,011 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(a)(ii)(3)(f) over 150 percentage ", "normalized": "item_5k_2_a_end_c3_f_gt150", "formItem": "Schedule D 5.K.(2)(a)", "question": "In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives specified in 3(a) through (f).", "type": "text", "values": "Number, integer or decimal (for example 0.02, 54.37)", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: derivative exposure (other derivatives): aggregate gross notional value divided by the aggregate regulatory assets under management of the accounts in column 1, as a percentage. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Values are free-entry percentages kept as filed: 208 filled cells across the 36 percentage columns exceed 100, and the largest are 999999.99, 382470 and 106963.5. Blank in 17,008 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(b)(1) less 10", "normalized": "item_5k_2_b_end_c1_lt10", "formItem": "Schedule D 5.K.(2)(b)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,434 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(b)(1) 10-149", "normalized": "item_5k_2_b_end_c1_10_149", "formItem": "Schedule D 5.K.(2)(b)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,520 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(b)(1) over150", "normalized": "item_5k_2_b_end_c1_gt150", "formItem": "Schedule D 5.K.(2)(b)", "question": "In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: regulatory assets under management, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,700 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(b)(2) less 10", "normalized": "item_5k_2_b_end_c2_lt10", "formItem": "Schedule D 5.K.(2)(b)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure less than 10%, end of year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,429 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(b)(2) 10-149", "normalized": "item_5k_2_b_end_c2_10_149", "formItem": "Schedule D 5.K.(2)(b)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 10-149%, end of year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,528 of 17,210 rows.", "published": true }, { "column": "5.K.(2)(b)(2) over150", "normalized": "item_5k_2_b_end_c2_gt150", "formItem": "Schedule D 5.K.(2)(b)", "question": "In column 2, provide the dollar amount of borrowings for the accounts included in column 1.", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Separately managed accounts with gross notional exposure 150% or more, end of year: borrowings, US dollars. Filled only by firms with separately managed account assets of at least $500 million (set (a) when at least $10 billion, set (b) when $500 million to under $10 billion; (b) has no derivative columns). Blank in 16,689 of 17,210 rows.", "published": true }, { "column": "5K(4)", "normalized": "item_5k_4_custodian_over_10pct", "formItem": "5.K(4)", "question": "After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten percent or more of this remaining amount of regulatory assets under management?", "type": "bool", "values": "Y or N", "gotchas": "A Y means the form asks for Schedule D 5.K.(3) per custodian; the file has no 5.K.(3) custodian columns (only Total Custody Amount mentions custody). Blank in 2,445 of 17,210 rows.", "published": true }, { "column": "5L(1)(a)", "normalized": "item_5l_1_a", "formItem": "5.L(1)(a)", "question": "(a) Performance results?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do any of your advertisements include:\" followed by this item. Blank in 8 of 17,210 rows.", "published": true }, { "column": "5L(1)(b)", "normalized": "item_5l_1_b", "formItem": "5.L(1)(b)", "question": "A reference to specific investment advice provided by you (as that phrase is usedin rule 206(4)-1(a)(5))?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do any of your advertisements include:\" followed by this item. The form text reads 'usedin' (missing space) in 5.L.(1)(b); that is the SEC's typo, quoted as is. Blank in 7 of 17,210 rows.", "published": true }, { "column": "5L(1)(c)", "normalized": "item_5l_1_c", "formItem": "5.L(1)(c)", "question": "Testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii))?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do any of your advertisements include:\" followed by this item. Blank in 7 of 17,210 rows.", "published": true }, { "column": "5L(1)(d)", "normalized": "item_5l_1_d", "formItem": "5.L(1)(d)", "question": "Endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii))?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do any of your advertisements include:\" followed by this item. Blank in 7 of 17,210 rows.", "published": true }, { "column": "5L(1)(e)", "normalized": "item_5l_1_e", "formItem": "5.L(1)(e)", "question": "Third-party ratings?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do any of your advertisements include:\" followed by this item. Blank in 7 of 17,210 rows.", "published": true }, { "column": "5L(2)", "normalized": "item_5l_2_pay_for_marketing", "formItem": "5.L(2)", "question": "If you answer “yes” to L(1)(c), (d), or (e) above, do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in connection with the use of testimonials, endorsements, or third-party ratings?", "type": "bool", "values": "Y or N", "gotchas": "Asked after a Y on 5L(1)(c), (d) or (e), but the file also holds answers for firms with no Y on any of them. 8,966 rows are filled: 5,242 with a Y on at least one of the three and 3,724 with none. 25 rows with a Y have 5L(2) blank. Filter on the parent answers first. Blank in 8,244 of 17,210 rows.", "published": true }, { "column": "5L(3)", "normalized": "item_5l_3_hypothetical_performance", "formItem": "5.L(3)", "question": "Do any of your advertisements include hypothetical performance?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 544 of 17,210 rows.", "published": true }, { "column": "5L(4)", "normalized": "item_5l_4_predecessor_performance", "formItem": "5.L(4)", "question": "Do any of your advertisements include predecessor performance?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 535 of 17,210 rows.", "published": true }, { "column": "6A(1)", "normalized": "item_6a_1_broker_dealer", "formItem": "6.A(1)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 1: broker-dealer (registered or unregistered).", "published": true }, { "column": "6A(2)", "normalized": "item_6a_2_registered_rep", "formItem": "6.A(2)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 2: registered representative of a broker-dealer.", "published": true }, { "column": "6A(3)", "normalized": "item_6a_3_cpo_cta", "formItem": "6.A(3)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 3: commodity pool operator or commodity trading advisor.", "published": true }, { "column": "6A(4)", "normalized": "item_6a_4_fcm", "formItem": "6.A(4)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 4: futures commission merchant.", "published": true }, { "column": "6A(5)", "normalized": "item_6a_5_real_estate", "formItem": "6.A(5)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 5: real estate broker, dealer, or agent.", "published": true }, { "column": "6A(6)", "normalized": "item_6a_6_insurance", "formItem": "6.A(6)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 6: insurance broker or agent.", "published": true }, { "column": "6A(7)", "normalized": "item_6a_7_bank", "formItem": "6.A(7)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 7: bank (including a separately identifiable department or division of a bank).", "published": true }, { "column": "6A(8)", "normalized": "item_6a_8_trust_company", "formItem": "6.A(8)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 8: trust company.", "published": true }, { "column": "6A(9)", "normalized": "item_6a_9_municipal_advisor", "formItem": "6.A(9)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 9: registered municipal advisor.", "published": true }, { "column": "6A(10)", "normalized": "item_6a_10_sbs_dealer", "formItem": "6.A(10)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 10: registered security-based swap dealer.", "published": true }, { "column": "6A(11)", "normalized": "item_6a_11_major_sbs_participant", "formItem": "6.A(11)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 11: major security-based swap participant.", "published": true }, { "column": "6A(12)", "normalized": "item_6a_12_accountant", "formItem": "6.A(12)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 12: accountant or accounting firm.", "published": true }, { "column": "6A(13)", "normalized": "item_6a_13_lawyer", "formItem": "6.A(13)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 13: lawyer or law firm.", "published": true }, { "column": "6A(14)", "normalized": "item_6a_14_other_salesperson", "formItem": "6.A(14)", "question": "You are actively engaged in business as a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 14: other financial product salesperson (specify).", "published": true }, { "column": "6A(14)-Other", "normalized": "item_6a_14_other_description", "formItem": "6.A(14)", "question": "other financial product salesperson (specify):", "type": "text", "values": null, "gotchas": "Free text for option 14. Blank in 16,904 of 17,210 rows.", "published": true }, { "column": "6B(1)", "normalized": "item_6b_1_other_business", "formItem": "6.B(1)", "question": "Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "6B(2)", "normalized": "item_6b_2_other_business_primary", "formItem": "6.B(2)", "question": "If yes, is this other business your primary business?", "type": "bool", "values": "Y or N", "gotchas": "Asked after a Y on 6B(1); all 1,269 filled rows have 6B(1) Y. Blank in 15,941 of 17,210 rows.", "published": true }, { "column": "6B(3)", "normalized": "item_6b_3_sells_other_products", "formItem": "6.B(3)", "question": "Do you sell products or provide services other than investment advice to your advisory clients?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "7A(1)", "normalized": "item_7a_1_broker_dealer", "formItem": "7.A(1)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 1: broker-dealer, municipal securities dealer, or government securities broker or dealer.", "published": true }, { "column": "7A(2)", "normalized": "item_7a_2_other_adviser", "formItem": "7.A(2)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 2: other investment adviser (including financial planners).", "published": true }, { "column": "7A(3)", "normalized": "item_7a_3_municipal_advisor", "formItem": "7.A(3)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 3: registered municipal advisor.", "published": true }, { "column": "7A(4)", "normalized": "item_7a_4_sbs_dealer", "formItem": "7.A(4)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 4: registered security-based swap dealer.", "published": true }, { "column": "7A(5)", "normalized": "item_7a_5_major_sbs_participant", "formItem": "7.A(5)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 5: major security-based swap participant.", "published": true }, { "column": "7A(6)", "normalized": "item_7a_6_cpo_cta", "formItem": "7.A(6)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 6: commodity pool operator or commodity trading advisor.", "published": true }, { "column": "7A(7)", "normalized": "item_7a_7_fcm", "formItem": "7.A(7)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 7: futures commission merchant.", "published": true }, { "column": "7A(8)", "normalized": "item_7a_8_bank_thrift", "formItem": "7.A(8)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 8: banking or thrift institution.", "published": true }, { "column": "7A(9)", "normalized": "item_7a_9_trust_company", "formItem": "7.A(9)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 9: trust company.", "published": true }, { "column": "7A(10)", "normalized": "item_7a_10_accountant", "formItem": "7.A(10)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 10: accountant or accounting firm.", "published": true }, { "column": "7A(11)", "normalized": "item_7a_11_lawyer", "formItem": "7.A(11)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 11: lawyer or law firm.", "published": true }, { "column": "7A(12)", "normalized": "item_7a_12_insurance", "formItem": "7.A(12)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 12: insurance company or agency.", "published": true }, { "column": "7A(13)", "normalized": "item_7a_13_pension_consultant", "formItem": "7.A(13)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 13: pension consultant.", "published": true }, { "column": "7A(14)", "normalized": "item_7a_14_real_estate", "formItem": "7.A(14)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 14: real estate broker or dealer.", "published": true }, { "column": "7A(15)", "normalized": "item_7a_15_lp_sponsor", "formItem": "7.A(15)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 15: sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles.", "published": true }, { "column": "7A(16)", "normalized": "item_7a_16_pooled_vehicle_sponsor", "formItem": "7.A(16)", "question": "You have a related person that is a (check all that apply):", "type": "bool", "values": "Y or N", "gotchas": "Option 16: sponsor, general partner, managing member (or equivalent) of pooled investment vehicles.", "published": true }, { "column": "Count of IA Affiliates", "normalized": "related_ia_count", "formItem": "7.A", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC; the SEC gives no definition. The name and the data suggest it counts Schedule D 7.A related persons that are investment advisers, but that is unconfirmed. It is 0 for 513 firms that ticked 7A(2); the file does not say why. The form's exemption \"You do not need to complete Section 7.A. of Schedule D for any related person if...\" is one possible reason.", "published": true }, { "column": "Count of IA/BD Affiliates", "normalized": "related_ia_bd_count", "formItem": "7.A", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC; no definition published. Presumably related persons that are both an adviser and a broker-dealer (unconfirmed).", "published": true }, { "column": "Count of BD Affiliates", "normalized": "related_bd_count", "formItem": "7.A", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC; no definition published. Presumably related persons that are broker-dealers (unconfirmed). It is 0 for 535 firms that ticked 7A(1).", "published": true }, { "column": "Control/Controlled by Related Person", "normalized": "related_control", "formItem": "Schedule D 7.A", "question": "Do you control or are you controlled by the related person?", "type": "bool", "values": "Y or N", "gotchas": "The SEC gives no definition. The name matches Schedule D 7.A question 6, and the column is Y/N for every row, so it is a firm-level summary of those answers (unconfirmed).", "published": true }, { "column": "Under Common Control", "normalized": "related_common_control", "formItem": "Schedule D 7.A", "question": "Are you and the related person under common control?", "type": "bool", "values": "Y or N", "gotchas": "Firm-level summary of Schedule D 7.A question 7, by name match; the SEC gives no definition (unconfirmed).", "published": true }, { "column": "Share Supervised Persons", "normalized": "related_share_supervised_persons", "formItem": "Schedule D 7.A", "question": "Do you and the related person share any supervised persons?", "type": "bool", "values": "Y or N", "gotchas": "Firm-level summary of Schedule D 7.A question 11, by name match (unconfirmed).", "published": true }, { "column": "Share Location", "normalized": "related_share_location", "formItem": "Schedule D 7.A", "question": "Do you and the related person share the same physical location?", "type": "bool", "values": "Y or N", "gotchas": "Firm-level summary of Schedule D 7.A question 12, by name match (unconfirmed).", "published": true }, { "column": "7B", "normalized": "item_7b_private_fund_adviser", "formItem": "7.B", "question": "Are you an adviser to any private fund?", "type": "bool", "values": "Y or N", "gotchas": "Y for 5,837 + 242 firms; 242 of the Y firms have a private-fund count of 0, which the form allows when another SEC adviser reports the fund (Schedule D 7.B.(2)). Blank in 1 of 17,210 rows.", "published": true }, { "column": "Count of Private Funds - 7B(1)", "normalized": "private_funds_7b1_count", "formItem": "Schedule D 7.B(1)", "question": null, "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing; may contain thousands separators", "gotchas": "Derived count of private funds the firm reports in full on Schedule D 7.B.(1). Padded text that can hold thousands separators (for example '1,286').", "published": true }, { "column": "Any PFs a Master", "normalized": "private_funds_any_master", "formItem": "Schedule D 7.B(1)", "question": "Is this a “master fund” in a master-feeder arrangement?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds answers yes to Schedule D 7.B.(1) question 6(a).", "published": true }, { "column": "Any Hedge Funds", "normalized": "private_funds_any_hedge", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'hedge fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of Hedge funds", "normalized": "private_funds_hedge_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'hedge fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Any Liquidity Funds", "normalized": "private_funds_any_liquidity", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'liquidity fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of Liquidity funds", "normalized": "private_funds_liquidity_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'liquidity fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Any PE Funds", "normalized": "private_funds_any_pe", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'private equity fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of PE funds", "normalized": "private_funds_pe_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'private equity fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Any Real Estate Funds", "normalized": "private_funds_any_real_estate", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'real estate fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of Real Estate funds", "normalized": "private_funds_real_estate_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'real estate fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Any Securitized Funds", "normalized": "private_funds_any_securitized", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'securitized asset fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of Securitized funds", "normalized": "private_funds_securitized_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'securitized asset fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Any VC Funds", "normalized": "private_funds_any_vc", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'venture capital fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of VC funds", "normalized": "private_funds_vc_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'venture capital fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Any Other Funds", "normalized": "private_funds_any_other", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "bool", "values": "Y or N", "gotchas": "Derived Y/N: Y if any of the firm's private funds is a 'other private fund' (Schedule D 7.B.(1) question 10).", "published": true }, { "column": "Total number of Other funds", "normalized": "private_funds_other_count", "formItem": "Schedule D 7.B(1)", "question": "What type of fund is the private fund?", "type": "int", "values": "Whole number", "gotchas": "Derived count of the firm's private funds of type 'other private fund'. Blank when the matching Any column is N.", "published": true }, { "column": "Total Gross Assets of Private Funds", "normalized": "private_funds_gross_assets", "formItem": "Schedule D 7.B(1)", "question": "Current gross asset value of the private fund:", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Sum across the firm's private funds, US dollars. This is gross asset value, not regulatory assets under management.", "published": true }, { "column": "Count of Private Funds - 7B(2)", "normalized": "private_funds_7b2_count", "formItem": "Schedule D 7.B(2)", "question": null, "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing", "gotchas": "Derived count of private funds the firm lists in the short Schedule D 7.B.(2) form (funds another SEC adviser reports in full).", "published": true }, { "column": "8A(1)", "normalized": "item_8a_1_principal_transactions", "formItem": "8.A(1)", "question": "buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person:\" followed by this item.", "published": true }, { "column": "8A(2)", "normalized": "item_8a_2_trade_same_securities", "formItem": "8.A(2)", "question": "buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person:\" followed by this item.", "published": true }, { "column": "8A(3)", "normalized": "item_8a_3_proprietary_interest", "formItem": "8.A(3)", "question": "recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A.(1) or (2))?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person:\" followed by this item.", "published": true }, { "column": "8B(1)", "normalized": "item_8b_1_agency_cross", "formItem": "8.B(1)", "question": "as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions)?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person:\" followed by this item.", "published": true }, { "column": "8B(2)", "normalized": "item_8b_2_underwriter_recommendations", "formItem": "8.B(2)", "question": "recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for which you or any related person serves as underwriter or general or managing partner?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person:\" followed by this item.", "published": true }, { "column": "8B(3)", "normalized": "item_8b_3_other_sales_interest", "formItem": "8.B(3)", "question": "recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person:\" followed by this item.", "published": true }, { "column": "8C(1)", "normalized": "item_8c_1_discretion_securities", "formItem": "8.C(1)", "question": "securities to be bought or sold for a client’s account?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person have discretionary authority to determine the:\" followed by this item.", "published": true }, { "column": "8C(2)", "normalized": "item_8c_2_discretion_amount", "formItem": "8.C(2)", "question": "amount of securities to be bought or sold for a client’s account?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person have discretionary authority to determine the:\" followed by this item.", "published": true }, { "column": "8C(3)", "normalized": "item_8c_3_discretion_broker", "formItem": "8.C(3)", "question": "broker or dealer to be used for a purchase or sale of securities for a client’s account?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person have discretionary authority to determine the:\" followed by this item.", "published": true }, { "column": "8C(4)", "normalized": "item_8c_4_discretion_commission_rates", "formItem": "8.C(4)", "question": "commission rates to be paid to a broker or dealer for a client’s securities transactions?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you or any related person have discretionary authority to determine the:\" followed by this item.", "published": true }, { "column": "8D", "normalized": "item_8d_brokers_related", "formItem": "8.D", "question": "If you answer “yes” to C.(3) above, are any of the brokers or dealers related persons?", "type": "bool", "values": "Y or N", "gotchas": "Asked after a Y on 8C(3), but the file also holds answers where 8C(3) is N. 11,519 rows are filled: 9,789 with 8C(3) Y and 1,730 with 8C(3) N. Filter on 8C(3) first. Blank in 5,691 of 17,210 rows.", "published": true }, { "column": "8E", "normalized": "item_8e_recommend_brokers", "formItem": "8.E", "question": "Do you or any related person recommend brokers or dealers to clients?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "8F", "normalized": "item_8f_recommended_brokers_related", "formItem": "8.F", "question": "If you answer “yes” to E. above, are any of the brokers or dealers related persons?", "type": "bool", "values": "Y or N", "gotchas": "Asked after a Y on 8E, but the file also holds answers where 8E is N. 12,527 rows are filled: 11,530 with 8E Y and 997 with 8E N. Filter on 8E first. Blank in 4,683 of 17,210 rows.", "published": true }, { "column": "8G(1)", "normalized": "item_8g_1_soft_dollars", "formItem": "8.G(1)", "question": "Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party (“soft dollar benefits”) in connection with client securities transactions?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "8G(2)", "normalized": "item_8g_2_soft_dollars_eligible", "formItem": "8.G(2)", "question": "If “yes” to G.(1) above, are all the “soft dollar benefits” you or any related persons receive eligible “research or brokerage services” under section 28(e) of the Securities Exchange Act of 1934?", "type": "bool", "values": "Y or N", "gotchas": "Asked after a Y on 8G(1), but the file also holds answers where 8G(1) is N. 7,518 rows are filled: 5,843 with 8G(1) Y and 1,675 with 8G(1) N. Filter on 8G(1) first. Blank in 9,692 of 17,210 rows.", "published": true }, { "column": "8H", "normalized": "legacy_8h", "formItem": null, "question": null, "type": "bool", "values": "Y or N", "gotchas": "Legacy column: the current form has 8.H.(1) and 8.H.(2) but no plain 8.H. Only 2 rows hold a value (both N). Blank in 17,208 of 17,210 rows.", "published": true }, { "column": "8H(1)", "normalized": "item_8h_1_pay_for_referrals", "formItem": "8.H(1)", "question": "Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 2 of 17,210 rows.", "published": true }, { "column": "8H(2)", "normalized": "item_8h_2_employee_referral_pay", "formItem": "8.H(2)", "question": "Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for the firm (cash or non-cash compensation in addition to the employee’s regular salary)?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 2 of 17,210 rows.", "published": true }, { "column": "8I", "normalized": "item_8i_receive_for_referrals", "formItem": "8.I", "question": "Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related person) for client referrals?", "type": "bool", "values": "Y or N", "gotchas": "Blank in 1 of 17,210 rows.", "published": true }, { "column": "9A(1)(a)", "normalized": "item_9a_1_a_custody_cash", "formItem": "9.A(1)(a)", "question": "Do you have custody of any advisory clients’:", "type": "bool", "values": "Y or N", "gotchas": "Option (a): cash or bank accounts. An SEC-registered firm answers No if its only custody is deducting advisory fees from client accounts.", "published": true }, { "column": "9A(1)(b)", "normalized": "item_9a_1_b_custody_securities", "formItem": "9.A(1)(b)", "question": "Do you have custody of any advisory clients’:", "type": "bool", "values": "Y or N", "gotchas": "Option (b): securities. An SEC-registered firm answers No if its only custody is deducting advisory fees from client accounts.", "published": true }, { "column": "9A(2)(a)", "normalized": "item_9a_2_a_custody_amount", "formItem": "9.A(2)(a)", "question": "If you checked “yes” to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you have custody:", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "(a) US dollars of client funds and securities the firm holds. Filled for 9,156 rows (firms that said yes to 9A(1)). Blank in 8,054 of 17,210 rows.", "published": true }, { "column": "9A(2)(b)", "normalized": "item_9a_2_b_custody_clients", "formItem": "9.A(2)(b)", "question": "If you checked “yes” to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you have custody:", "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing; may contain thousands separators", "gotchas": "(b) Number of clients whose assets the firm holds. Blank in 8,050 of 17,210 rows.", "published": true }, { "column": "9B(1)(a)", "normalized": "item_9b_1_a_related_custody_cash", "formItem": "9.B(1)(a)", "question": "In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients’:", "type": "bool", "values": "Y or N", "gotchas": "Option (a): cash or bank accounts.", "published": true }, { "column": "9B(1)(b)", "normalized": "item_9b_1_b_related_custody_securities", "formItem": "9.B(1)(b)", "question": "In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients’:", "type": "bool", "values": "Y or N", "gotchas": "Option (b): securities.", "published": true }, { "column": "9B(2)(a)", "normalized": "item_9b_2_a_related_custody_amount", "formItem": "9.B(2)(a)", "question": "If you checked “yes” to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which your related persons have custody:", "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "(a) US dollars held by related persons. Filled for 5,767 rows. Blank in 11,443 of 17,210 rows.", "published": true }, { "column": "9B(2)(b)", "normalized": "item_9b_2_b_related_custody_clients", "formItem": "9.B(2)(b)", "question": "If you checked “yes” to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which your related persons have custody:", "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing; may contain thousands separators", "gotchas": "(b) Number of clients. Blank in 11,443 of 17,210 rows.", "published": true }, { "column": "Total Custody Amount", "normalized": "custody_amount_total", "formItem": "9.A(2)(a)", "question": null, "type": "money", "values": "US dollars with cents, for example '1,234,567.00'; left-padded with spaces and with thousands separators, so trim and remove commas before parsing", "gotchas": "Derived by the SEC. In this file it equals 9A(2)(a) plus 9B(2)(a) in all 10,581 filled rows (checked); blank when both are blank.", "published": true }, { "column": "9C(1)", "normalized": "item_9c_1_custody_safeguard", "formItem": "9.C(1)", "question": "A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage.", "type": "bool", "values": "Y or N", "gotchas": "Item 9.C asks, for firms with custody, which of these apply (check all that apply).", "published": true }, { "column": "9C(2)", "normalized": "item_9c_2_custody_safeguard", "formItem": "9.C(2)", "question": "An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools.", "type": "bool", "values": "Y or N", "gotchas": "Item 9.C asks, for firms with custody, which of these apply (check all that apply).", "published": true }, { "column": "9C(3)", "normalized": "item_9c_3_custody_safeguard", "formItem": "9.C(3)", "question": "An independent public accountant conducts an annual surprise examination of client funds and securities.", "type": "bool", "values": "Y or N", "gotchas": "Item 9.C asks, for firms with custody, which of these apply (check all that apply).", "published": true }, { "column": "9C(4)", "normalized": "item_9c_4_custody_safeguard", "formItem": "9.C(4)", "question": "An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities.", "type": "bool", "values": "Y or N", "gotchas": "Item 9.C asks, for firms with custody, which of these apply (check all that apply).", "published": true }, { "column": "9C Unqual Opinion", "normalized": "item_9c_unqualified_opinion", "formItem": "Schedule D 9.C(6)", "question": "Since your last annual updating amendment, did all of the reports prepared by the independent public accountant that audited the pooled investment vehicle or that examined internal controls contain unqualified opinions?", "type": "bool", "values": "Y or N", "gotchas": "Y/N on every row, even for firms with no custody; read it together with the 9C(2) to 9C(4) answers. The form also allows 'Report Not Yet Received', which this file cannot show.", "published": true }, { "column": "9D(1)", "normalized": "item_9d_1_act_as_qualified_custodian", "formItem": "9.D(1)", "question": "Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients?", "type": "bool", "values": "Y or N", "gotchas": "Option (1): you act as a qualified custodian. Blank in 1 of 17,210 rows.", "published": true }, { "column": "9D(2)", "normalized": "item_9d_2_related_qualified_custodian", "formItem": "9.D(2)", "question": "Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients?", "type": "bool", "values": "Y or N", "gotchas": "Option (2): your related person(s) act as qualified custodian(s). Blank in 1 of 17,210 rows.", "published": true }, { "column": "9E", "normalized": "item_9e_surprise_exam_start", "formItem": "9.E", "question": "If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (MM/YYYY) the examination commenced:", "type": "date", "values": "MM/YYYY", "gotchas": "Month and year only. Blank in 15,583 of 17,210 rows.", "published": true }, { "column": "9F", "normalized": "item_9f_qualified_custodian_count", "formItem": "9.F", "question": "If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with advisory services you provide to clients?", "type": "int", "values": "Whole number", "gotchas": "Blank in 5,211 of 17,210 rows.", "published": true }, { "column": "10A", "normalized": "item_10a_other_control_persons", "formItem": "10.A", "question": "Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies?", "type": "bool", "values": "Y or N", "gotchas": null, "published": true }, { "column": "Count of Control person Public Reporting Company", "normalized": "control_persons_public_company_count", "formItem": "10.B", "question": "If any person named in Schedules A, B, or C or in Section 10.A. of Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, please complete Section 10.B. of Schedule D.", "type": "int", "values": "Whole number; stored with leading spaces, trim before parsing", "gotchas": "Derived count of control persons listed on Schedule D 10.B as public reporting companies.", "published": true }, { "column": "11", "normalized": "item_11_any_disclosure_events", "formItem": "11", "question": "Do any of the events below involve you or any of your supervised persons?", "type": "bool", "values": "Y or N", "gotchas": "Blank for 1 row.", "published": true }, { "column": "11A(1)", "normalized": "item_11a_1", "formItem": "11.A(1)", "question": "been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to any felony?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"In the past ten years, have you or any advisory affiliate:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11A(1) disclosures", "normalized": "item_11a_1_disclosure_count", "formItem": "11.A(1)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N disagree for 70 item pairs across 38 rows, each a Y with a count of 0.", "published": true }, { "column": "11A(2)", "normalized": "item_11a_2", "formItem": "11.A(2)", "question": "been charged with any felony?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"In the past ten years, have you or any advisory affiliate:\" followed by this item. SEC-registered firms may limit this to charges that are currently pending. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11A(2) disclosures", "normalized": "item_11a_2_disclosure_count", "formItem": "11.A(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11B(1)", "normalized": "item_11b_1", "formItem": "11.B(1)", "question": "been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"In the past ten years, have you or any advisory affiliate:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11B(1) disclosures", "normalized": "item_11b_1_disclosure_count", "formItem": "11.B(1)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11B(2)", "normalized": "item_11b_2", "formItem": "11.B(2)", "question": "been charged with a misdemeanor listed in Item 11.B.(1)?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"In the past ten years, have you or any advisory affiliate:\" followed by this item. SEC-registered firms may limit this to charges that are currently pending. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11B(2) disclosures", "normalized": "item_11b_2_disclosure_count", "formItem": "11.B(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11C(1)", "normalized": "item_11c_1", "formItem": "11.C(1)", "question": "found you or any advisory affiliate to have made a false statement or omission?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has the SEC or the Commodity Futures Trading Commission (CFTC) ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11C(1) disclosures", "normalized": "item_11c_1_disclosure_count", "formItem": "11.C(1)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11C(2)", "normalized": "item_11c_2", "formItem": "11.C(2)", "question": "found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has the SEC or the Commodity Futures Trading Commission (CFTC) ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11C(2) disclosures", "normalized": "item_11c_2_disclosure_count", "formItem": "11.C(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11C(3)", "normalized": "item_11c_3", "formItem": "11.C(3)", "question": "found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has the SEC or the Commodity Futures Trading Commission (CFTC) ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11C(3) disclosures", "normalized": "item_11c_3_disclosure_count", "formItem": "11.C(3)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11C(4)", "normalized": "item_11c_4", "formItem": "11.C(4)", "question": "entered an order against you or any advisory affiliate in connection with investment-related activity?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has the SEC or the Commodity Futures Trading Commission (CFTC) ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11C(4) disclosures", "normalized": "item_11c_4_disclosure_count", "formItem": "11.C(4)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11C(5)", "normalized": "item_11c_5", "formItem": "11.C(5)", "question": "imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has the SEC or the Commodity Futures Trading Commission (CFTC) ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11C(5) disclosures", "normalized": "item_11c_5_disclosure_count", "formItem": "11.C(5)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11D(1)", "normalized": "item_11d_1", "formItem": "11.D(1)", "question": "ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11D(1) disclosures", "normalized": "item_11d_1_disclosure_count", "formItem": "11.D(1)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11D(2)", "normalized": "item_11d_2", "formItem": "11.D(2)", "question": "ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11D(2) disclosures", "normalized": "item_11d_2_disclosure_count", "formItem": "11.D(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11D(3)", "normalized": "item_11d_3", "formItem": "11.D(3)", "question": "ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11D(3) disclosures", "normalized": "item_11d_3_disclosure_count", "formItem": "11.D(3)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11D(4)", "normalized": "item_11d_4", "formItem": "11.D(4)", "question": "in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11D(4) disclosures", "normalized": "item_11d_4_disclosure_count", "formItem": "11.D(4)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11D(5)", "normalized": "item_11d_5", "formItem": "11.D(5)", "question": "ever denied, suspended, or revoked your or any advisory affiliate’s registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate’s activity?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11D(5) disclosures", "normalized": "item_11d_5_disclosure_count", "formItem": "11.D(5)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11E(1)", "normalized": "item_11e_1", "formItem": "11.E(1)", "question": "found you or any advisory affiliate to have made a false statement or omission?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any self-regulatory organization or commodities exchange ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11E(1) disclosures", "normalized": "item_11e_1_disclosure_count", "formItem": "11.E(1)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11E(2)", "normalized": "item_11e_2", "formItem": "11.E(2)", "question": "found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a “minor rule violation” under a plan approved by the SEC)?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any self-regulatory organization or commodities exchange ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11E(2) disclosures", "normalized": "item_11e_2_disclosure_count", "formItem": "11.E(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11E(3)", "normalized": "item_11e_3", "formItem": "11.E(3)", "question": "found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any self-regulatory organization or commodities exchange ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11E(3) disclosures", "normalized": "item_11e_3_disclosure_count", "formItem": "11.E(3)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11E(4)", "normalized": "item_11e_4", "formItem": "11.E(4)", "question": "disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate’s activities?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any self-regulatory organization or commodities exchange ever:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11E(4) disclosures", "normalized": "item_11e_4_disclosure_count", "formItem": "11.E(4)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11F", "normalized": "item_11f", "formItem": "11.F", "question": "Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?", "type": "bool", "values": "Y or N", "gotchas": "Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11F disclosures", "normalized": "item_11f_disclosure_count", "formItem": "11.F", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11G", "normalized": "item_11g", "formItem": "11.G", "question": "Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a “yes” answer to any part of Item 11.C., 11.D., or 11.E.?", "type": "bool", "values": "Y or N", "gotchas": "Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11G disclosures", "normalized": "item_11g_disclosure_count", "formItem": "11.G", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11H(1)(a)", "normalized": "item_11h_1_a", "formItem": "11.H(1)(a)", "question": "in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any domestic or foreign court:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11H(1)(a) disclosures", "normalized": "item_11h_1_a_disclosure_count", "formItem": "11.H(1)(a)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11H(1)(b)", "normalized": "item_11h_1_b", "formItem": "11.H(1)(b)", "question": "ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any domestic or foreign court:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11H(1)(b) disclosures", "normalized": "item_11h_1_b_disclosure_count", "formItem": "11.H(1)(b)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11H(1)(c)", "normalized": "item_11h_1_c", "formItem": "11.H(1)(c)", "question": "ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Has any domestic or foreign court:\" followed by this item. Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11H(1)(c) disclosures", "normalized": "item_11h_1_c_disclosure_count", "formItem": "11.H(1)(c)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "11H(2)", "normalized": "item_11h_2", "formItem": "11.H(2)", "question": "Are you or any advisory affiliate now the subject of any civil proceeding that could result in a “yes” answer to any part of Item 11.H.(1)?", "type": "bool", "values": "Y or N", "gotchas": "Disciplinary history of the firm and its advisory affiliates (employees, officers and control persons), not of individual advisers by name. A Y is the firm's own report; the file holds no detail on the event, date or outcome. \"You\" and \"your\" in Item 11 include the filing adviser and all relying advisers under an umbrella registration.", "published": true }, { "column": "Count of 11H(2) disclosures", "normalized": "item_11h_2_disclosure_count", "formItem": "11.H(2)", "question": null, "type": "int", "values": "Whole number", "gotchas": "Derived count added by the SEC, not a Form ADV answer. It appears to count the Disclosure Reporting Pages filed for this item (unconfirmed; the SEC gives no definition). Count and Y/N agree in all but a handful of rows (70 mismatches over all 11x pairs, all of them Y with a count of 0).", "published": true }, { "column": "12A", "normalized": "item_12a_assets_5m_or_more", "formItem": "12.A", "question": "Did you have total assets of $5 million or more on the last day of your most recent fiscal year?", "type": "bool", "values": "Y or N", "gotchas": "Item 12 is only answered by SEC-registered firms with under $25 million of regulatory assets, so about 16,300 rows are blank on 12A to 12C(2).", "published": true }, { "column": "12B(1)", "normalized": "item_12b_1_controls_adviser_25m", "formItem": "12.B(1)", "question": "control another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV) of $25 million or more on the last day of its most recent fiscal year?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you:\" followed by this item. Mostly blank (see 12A).", "published": true }, { "column": "12B(2)", "normalized": "item_12b_2_controls_person_5m", "formItem": "12.B(2)", "question": "control another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal year?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Do you:\" followed by this item. Mostly blank (see 12A).", "published": true }, { "column": "12C(1)", "normalized": "item_12c_1_controlled_by_adviser_25m", "formItem": "12.C(1)", "question": "controlled by or under common control with another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV) of $25 million or more on the last day of its most recent fiscal year?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Are you:\" followed by this item. Mostly blank (see 12A).", "published": true }, { "column": "12C(2)", "normalized": "item_12c_2_controlled_by_person_5m", "formItem": "12.C(2)", "question": "controlled by or under common control with another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal year?", "type": "bool", "values": "Y or N", "gotchas": "Asked as: \"Are you:\" followed by this item. Mostly blank (see 12A).", "published": true } ] }