attributable to each of the following type of client. 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). 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. If a client fits into more than one category, select one category that most accurately represents the client to avoid double counting clients and assets. If you advise a registered investment company, business development company, or pooled investment vehicle, report those assets in categories (d), (e), and (f) as applicable. Type of Client (1) Number of Client(s) (2) Fewer than 5 Clients (3) Amount of Regulatory Assets under Management (a) Individuals (other than high net worth individuals) r $ (b) High net worth individuals r $ (c) Banking or thrift institutions r $ (d) Investment companies 1 $ 0 (e) Business development companies $ (f) Pooled investment vehicles (other than investment companies and business development companies) $ (g) Pension and profit sharing plans (but not the plan participants or government pension plans) r $ (h) Charitable organizations r $ (i) State or municipal government entities (including government pension plans) r $ (j) Other investment advisers r $ (k) Insurance companies r $ (I) Sovereign wealth funds and foreign official institutions r $ (m) Corporations or other businesses not listed above r $ (n) Other: r Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): F r r r r r r (1) A percentage of assets under your management (2) Hourly charges (3) Subscription fees (for a newsletter or periodical) (4) Fixed fees (other than subscription fees) (5) Commissions (6) Performance-based fees (7) Other (specify): Item 5