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Amendment Filings by Federal- and State-Covered Advisers

Federal-Covered Investment Advisers and Their Representatives

Pursuant to the Investment Adviser Act of 1940, and regulations promulgated thereunder, an FCA files an annual amendment to the Securities and Exchange Commission (SEC) through IARD every year. Changes of address or principal office, changes to the Form ADV, Parts 1A, changes to Forms U-4 or U-5, or any other changes to the Firm or their representative require an Amendment filing. Please check with the Investment Management Division of the SEC to find out more about requirements regarding FCAs and their representatives' amendment filings.

State-Covered Investment Advisers and Their Representatives

Changes of address or principal office, changes to the Form ADV, Parts 1A, 1B or 2 or any schedules to the Form ADV, changes to Forms U-4 or U-5, or any other changes to investment advisers or their representative require an Amendment filing. Unless the Amendment filing contains changes to Part 2 of the Form ADV, an Amendment should be filed with IARD as soon as the change takes place. Any changes to Part 2 of the Form ADV must be filed electronically or submitted directly to DISB Securities Bureau as soon as the change takes place.