Advocate Asset Management, LLC

prospective investors

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Accredited Investor Questionnaire
In order to receive further details about Advocate, you will need to affirm that you are an accredited investor.

Advocate is required to ascertain your status as an accredited investor for access to the secure areas of this website. You will be given access to this secure area based upon determination of your status as an accredited investor based upon the facts disclosed in this questionnaire and any other facts known to Advocate Asset Management, LLC.

If you qualify as an accredited investor, we will email you a user name and password to login to the secure area of this website.

(*) indicates required field

Your name (*):

Entity name (if applicable):

Your position (if applicable):

Street address (*):

City (*)	State (*)	Zipcode (*)

Phone number (*):

Fax number:

Email address (*):

Check the box or boxes below, which are next to the categories, under which the prospective investor qualifies as an accredited investor. You must check at least one box below in order to complete this questionnaire.

For Individuals

A natural person with individual net worth (or joint net worth with spouse) in excess of $1 million. For purposes of this item, “net worth” means the excess of total assets at fair market value, including home, home furnishings and automobiles (and including property owned by a spouse), over total liabilities.

A natural person with individual income (without including any income of the Investor’s spouse) in excess of $200,000, or joint income with spouse of $300,000, in each of the two most recent years and who reasonably expects to reach the same income level in the current year.

For Entities

An entity in which all of the equity owners are Accredited Investors

A corporation, partnership, business trust, limited liability company or Section 501 (c)(3) organization with total assets in excess of $5 million that was not formed for the specific purpose of investing in a fund offered by Advocate Asset Management, LLC.

A trust with total assets in excess of $5 million, which is not formed for the specific purpose of investing in a fund offered by Advocate Asset Management, LLC, whose purpose is directed by a person who has such knowledge and experience in financial and business matters that he is capable of evaluating the merits and risks of this prospective investment.

A director, executive officer or general partner of a fund offered by Advocate Asset Management, LLC or any director, executive officer or general partner of a general partner of a fund offered by Advocate Asset Management, LLC.

A broker-dealer registered pursuant to section 15 of the Securities Exchange Act of 1934. A bank or savings and loan association as defined in Section 3(a) of the Securities Act of 1933, whether acting in its individual or fiduciary capacity.

An insurance company as defined in section 2(13) of the Securities Act of 1933.

An investment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2(a)(48) of that Act not formed for the specific purpose of investing in a fund offered by Advocate Asset Management, LLC.

A plan established and maintained by a state, its political subdivisions or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, if such plan has total assets in excess of $5 million.

An employee benefit plan within the meaning of ERISA, provided, that the investment decision is made by a plan fiduciary, as defined in section 3(21) of such Act, which is a bank, savings and loan association, insurance company or registered investment advisor, or that the employee benefit plan has total assets in excess of $5 million; or, if the plan is self-directed, with investment decisions made solely by persons that are Accredited Investors.

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