EFTA Document EFTA01372453

(o) r sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles (p) P sponsor, general partner, managing member (or equivalent) of pooled investment vehicles 6. Do you control or are you controlled by the related person? 7. Are you and the related person under common control? Yes No  r. • r 8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients? r (b) If you a