Investment Adviser Surety Bond

Securities Division PO Box 9033 Washington State Department of Olympia, WA 98504-9033 360-902-8760 Financial Institutions 800-372-8303 INVESTMENT ADVISER SURETY BOND KNOW ALL MEN BY THESE PRESENTS, That we _____________________________ ______________________________, as principal, and _____________________ _________ ______________________________ lawfully doing business in the State of Washington, as surety, are held and firmly bound unto the STATE OF WASHINGTON, for t he use and benefit of any interested person, in the penal sum of ____________ ___ thousand dollars ($__________ ) , to be paid to the State of Washington for the use and benefit of any interested person, for which sum well and truly to be paid, said Princip al and Surety bind themselves jointly and severally, firmly by these presents: THE CONDITIONS OF THIS OBLIGATION ARE SUCH THAT, WHEREAS, the above bound Principal is desirous of obtaining a license or renewing a license from the Administrator of Securities to carry on business as an Investment Adviser in the State of Washington, and whereas the Administrator of Sec urities has required the Principal to post a surety bond in lieu of compliance with the net worth rules of WAC 460-24A-170 promulgated under the Securities Act of Washing ton, ch. 21.20 RCW. NOW, THEREFORE, if the said Principal shall perform and discharge all ob ligations imposed on the Principal as an Investment Adviser licensed under the Sec urities Act of Washington and account for all monies and securities coming into its hands for the use and benefit of investors, then this obligation shall be null and voi d; otherwise to remain in full force and effect. PROVIDED, HOWEVER, UPON THE FOLLOWING EXPRESS CONDITIONS: That every person having a claim for relief under the Securities Act of Washi ngton as amended, may initiate suit in any court of competent jurisdiction agains t the Principal and/or the surety upon this bond. No suit shall be maintained to enforce liability on this bond unless brought within three (3) years after the sale or othe r act upon which it is based. PROVIDED, FURTHER that the obligation on this bond shall commence on the _____ day of _________________, ______, and that the Surety shall have the rig ht to withdraw as Surety hereon, by giving the Principal and the Administrator of Secur ities thirty (30) days written notice of such withdrawal, but the Surety shall not be discharged from any liability incurred or accrued prior to said date of termination . American LegalNet, Inc. www.USCourtForms.com<<<<<<<<<********>>>>>>>>>>>>> 2Investment Adviser Surety Bond Page 2 of 4 DATED this ________ day of __________________________________, ______ _. ________________________________ Principal By ________________________________ Signature and Title ________________________________ Surety By ________________________________ Signature and Title American LegalNet, Inc. www.USCourtForms.com<<<<<<<<<********>>>>>>>>>>>>> 3Investment Adviser Surety Bond Page 3 of 4 (INDIVIDUAL ACKNOWLEDGMENT) STATE OF _______________________________) ) ss. COUNTY OF _____________________________) On this ________ day of _______________, _______, before me, a Notary Pu blic within and for the county, personally appeared ________________________________ _______, to me known to be the person described in and who executed the foregoing in strument, as Principal, and acknowledged to me that he/she executed the same as hi s/her free act and deed. ________________________________ Notary Public ________________________________ County State _______________________________________________ My Commission expires (CORPORATE ACKNOWLEDGMENT) STATE OF _______________________________) ) ss. COUNTY OF _____________________________) On this _________ day of ______________, _______, before me a Notary Pub lic within and for said county personally appeared, _______________________________ __________, who being first duly sworn, says that he/she is the ____________________ __________ of ________________________________________, Principal herein, and executed the foregoing instrument for and in its behalf, by authority of its Board of Directors, that the seal affixed to the foregoing instrument is the corporate seal of sa id corporation; and further acknowledged said instrument and the execution thereof to be the voluntary act and deed of said corporation. ________________________________ Notary Public ________________________________ County State _______________________________________________ My commission expires American LegalNet, Inc. www.USCourtForms.com<<<<<<<<<********>>>>>>>>>>>>> 4Investment Adviser Surety Bond Page 4 of 4 (SURETY ACKNOWLEDGMENT) (Corporate Officer) STATE OF _________________________) ) ss. COUNTY OF _______________________) On this _________ day of ____________________, _______, before me, a Not ary Public within and for said county, personally appeared ___________________________________, who being first duly sworn, says he/she is the _________________________________________, of _______________________________________, Surety herein, a corporation du ly organized and existing under laws of the State of ______________________ _______, and executed the foregoing instrument for and in its behalf, by authority of its Board of Directors; that the seal affixed to the foregoing instrument is the corp orate seal of said corporation; and further acknowledged said instrument and the execution thereof to be the voluntary act and deed of said corporation. ________________________________ Notary Public ________________________________ County State ________________________________ My commission expires American LegalNet, Inc. www.USCourtForms.com