Disciplinary Information. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that have occurred in the last 10 years that would be material to a client’s evaluation of Confluence or the integrity of Confluence’s management. Confluence has no information applicable to this item to disclose.
Appears in 3 contracts
Samples: Investment Advisory Agreement, Investment Advisory Agreement, Investment Advisory Agreement
Disciplinary Information. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that have occurred in the last 10 years that would be material to a client’s your evaluation of Confluence or the integrity of Confluence’s managementeach supervised person providing investment advice. Confluence has no No information applicable is responsive to this item to discloseItem.
Appears in 2 contracts
Samples: Services Agreement, Services Agreement
Disciplinary Information. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that have occurred in the last 10 years that would be material to a client’s or prospective client’s evaluation of Confluence or the integrity of Confluence’s management. Confluence has no information applicable to this item to disclose.
Appears in 1 contract
Samples: Investment Advisory Agreement
