Form TN Certificate for Limited Partnership

Form ADV Uniform Application for Investment Adviser Registration

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION (Form ADV)

(PAGE 25 TO 81)

Form ADV is a United States Securities and Exchange commission form used for registration of a professional investment advising agency. The form requires disclosure of investment styles, assets under management, and lead officers of the firm.

The Form ADV can be obtained through the Securities and Exchange commission’s website or by obtaining the documents through an SEC local office.

Form ADVs require extensive information about your financial advising firm, so ensure that you have all required information available before filling out the form. Check with the Securities and Exchange Commission for more information about the required filing.

1. The section which must be completed is Part 1A, which requires identifying information, contact information and office locations, and basic information about your firm.

2. In item 2, you must check the proper boxes indicating your registration with the SEC. Items 3, 4, and 5 will be used for stating your form of organization.

3. If you have any other business activities, they must be identified in item 6.

4. Continue through the form, checking the appropriately boxes which apply to your firm. If you are unsure of rules, definitions, or about specific questions, you can search through the SEC website or call a local branch to obtain help in filling out the form.

5. Once you have identified your information in items 1 through 11, you must now move on to schedules A, B, C, and D. These schedules require disclosure of all ownership interests in your financial advising firm. You must provide great detail in filling out the schedules disclosing all ownership interests.

6. Next, you must fill in the criminal disclosure and regulatory action reporting pages, which requires disclosure of any criminal charges against members of your firm. Full disclosure must be given or penalties may be imposed by the SEC.

7. If any civil judicial actions have been made against your firm, they must be disclosed in the appropriate reporting page.

8. Following completion of 1A, you must file part 1B, which is the uniform application for adviser registration.

9. Provide all of the information required in 1B, which is similar to information provided in 1A.

10. You must fill out all parts in 1B, including criminal, regulatory, and judicial actions disclosures.

11. Once completed, all advisers in your firm must sign the Form ADV in the final pages.

Form SS-4246 Notice of Dissolution

Form Application for Reservation of Name (Corporation)

INSTRUCTIONS: APPLICATION FOR RESERVATION OF NAME (CORPORATION)

If you intend on reserving a name, you need to file this form in South Dakota before filing the Articles of Incorporation. You’re encouraged to consult with an attorney before completing this form or any other similar forms.

“Application for Reservation of Name (Corporation) Step 1”

The applicant needs to provide their telephone number and FAX number in the box at the top of this form.

“Application for Reservation of Name (Corporation) Step 2”

Provide the proposed reserved name in the first section of this form. Make sure the name is distinguishable from other business names in the state, and include one of the following designations in the name: corporation, incorporated, company, limited, or a stand abbreviation.

Use the following link to find business listings in South Dakota: https://sdsos.gov/business/search.aspx.

“Application for Reservation of Name (Corporation) Step 3”

Next, you need to check the appropriate box in section 2 of this form. Check the box if you’re reserving the name for a domestic corporation. Check the second box if you’re reserving the name for a domestic corporation but you plan on changing the name.

Check the third box if you want to make an application for a Certificate of Authority. Check the fourth box if the applicant is part of a foreign corporation authorized in the state but the corporation plans to change its name. Check the last box if the any person is forming a foreign corporation and intends to apply for Certificate of Authority.

“Application for Reservation of Name (Corporation) Step 4”

The applicant needs to provide their signature, printed name, title, and address at the bottom of this form. Make sure to provide a date of signature as well.

“Application for Reservation of Name (Corporation) Step 5”

The filing fee for this form is $25, and the check should be made payable to Secretary of State. Before sending the form, make a duplicate of the complete original. Mail the forms and fee to the following address:

Secretary of State Office

500 E Capitol Ave

Pierre, SD 57501