(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the r r presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person? (c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: r 9. (a) If the related person is an investment adviser, is it exempt from registration? (b) If the answer is yes, under what exemption? Yes No r 10. (a) Is the related person registered with a foreign financial regulatory authority ? r 6.* (b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered. No Information Filed 11. Do you and the related person share any supervised persons? 12. Do you and the related person share the same physical location? r. r r 1. Legal Name of Related Person: CERBERUS ND CREDIT HOLDINGS LLC 2. Primary Business Name of Related Person: CERBERUS ND CREDIT HOLDINGS LLC 3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-) or Other 4. Related Person's (a) CRD Number (if any): (b) CIK Number(s) (if any): No Information Filed 5. Related Person is: (check all that apply) (a) r broker-dealer, municipal securities dealer, or government securities broker or dealer (b) F. other investment adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (f) r commodity pool operator or commodity trading advisor (whether re