Extracted text
Machine-extracted from the archived PDF. Layout artifacts are expected.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 1 Rev. 02/2001
10/22/2002 4:36:30 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal
prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 3.
Item 1 - Identifying Information
Responses to this item tell us who you are, where you are doing business, and how we can contact you.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
KNOBLE, LARRY HENERY
B. Name under which you primarily conduct your advisory business, if different from Item 1.A.
KNOBLE, LARRY H.
List on Section 1.B of Schedule D any additional names under which you conduct your advisory business.
C. If this filing is reporting a change in your legal name (Item 1.A) or Primary Business Name (Item 1.B), enter the new name and specify whether
the name change is of
your legal name or your primary business name:
D. If you are registered with the SEC as an investment adviser, your SEC file number:
E. If you have a number ("CRD Number") assigned by the NASD's CRD system or by the IARD system, your CRD number: 123479
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 2 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 1 - Identifying Information (Continued)
F. Principal Office and Place of Business:
(1) Address (do not use a P.O. Box)
Number and Street 1: Number and Street 2:
1205 DEKALB AVENUE
City: State: Country: ZIP:
SYCAMORE IL USA 60178
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If
you are applying for registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to
which you are applying for registration or with whom you are registered. If you are applying for registration, or are registered only, with the SEC, list the
largest five offices in terms of numbers of employees.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday-Friday Other
Normal business hours at this location:
9AM-5PM
(3) Telephone Number at this location:
815-895-7526
(4) Facsimile number at this location:
815-895-3013
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.
Number and Street 1: Number and Street 2:
City: State: Country: ZIP:
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 3 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 1 - Identifying Information (Continued)
YES NO
I. Do you have World Wide Web site addresses?
If "yes", list all addresses on Section 1.I. of Schedule D. If a web address serves as a portal through which to access other information you have
published on the World Wide Web, you may list the portal without listing addresses for all of the other information. Some advisers may need to list
more than one portal address. Do not provide individual electronic mail addresses in response to this Item.
J. Contact Employee:
Name: Title:
Telephone Number: Facsimile Number:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP:
Electronic mail (e-mail) address, if contact employee has one:
The contact employee should be an employee whom you have authorized to receive information and respond to questions about this Form ADV.
YES NO
K. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law,
somewhere other than your principal office and place of business?
If "yes", complete Section 1.K of Schedule D.
YES NO
L. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign
financial regulatory authority. If "yes", complete Section 1.L of Schedule D.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 4 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 2 - SEC Registration
Responses to this item help us (and you) determine whether you should be registered with the SEC. Complete this Item 2 only if you are applying for SEC
registration or submitting an annual updating amendment to your SEC registration.
A. To register (or remain registered) with the SEC, you must check at least one of the items 2.A(1) through 2.A(10), below. If you are submitting an annual
updating amendment to your registration and you are no longer eligible to register with the SEC, check item 2.A(11). You:
(1) have assets under management of $25 million (in U.S. dollars) or more;
See Part 1A Instruction 2.a. to determine whether you should check this box.
(2) have your principal office and place of business in the U.S. Virgin Islands or Wyoming;
(3) have your principal office and place of business outside the United States;
(4) are an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940;
See Part 1A Instruction 2.b. to determine whether you should check this box.
(5) have been designated as a nationally recognized statistical rating organization;
See Part 1A Instruction 2.c. to determine whether you should check this box.
(6) are a pension consultant that qualifies for the exemption in Rule 203A-2(b);
See Part 1A Instruction 2.d. to determine whether you should check this box.
(7) are relying on rule 203A-2(c) because you are an investment adviser that controls, is controlled by, or is under common control with, an
investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser;
See Part 1A Instruction 2.e. to determine whether you should check this box. If you check this box, complete Section 2A(7) of Schedule D.
(8) are a newly formed adviser relying on Rule 203A-2(d) because you expect to be eligible for SEC registration within 120 days;
See Part 1A Instruction 2.f. to determine whether you should check this box. If you check this box, complete Section 2A(8) of Schedule D.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 5 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 2 - SEC Registration (Continued)
(9) are a multi-state adviser relying on rule 203A-2(e);
See Part 1A Instruction 2.g. to determine whether you should check this box. If you check this box, complete Section 2A(9) of Schedule D
(10) have received an SEC order exempting you from the prohibition against registration with the SEC;
If you check this box, complete Section 2A(10) of Schedule D
(11) are no longer eligible to remain registered with the SEC.
See Part 1A Instruction 2.h. to determine whether you should check this box.
B. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments
they file with the SEC. These are called notice filings. If this is an initial application, check the box(es) next to the state(s) that you would like to receive
notice of this and all subsequent filings you submit to the SEC. If this is an amendment to direct your notice filings to additional state(s), check the
box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings you submit to the SEC. If this is an amendment to
your registration to stop your notice filings from going to state(s) that currently receive them, uncheck the box(es) next to those state(s).
AL ID MS PA
AK IL MT PR
AR IN NE RI
AZ IA NV SC
CA KS NH SD
CO KY NJ TN
CT LA NM TX
DE ME NY UT
DC MD NC VT
FL MA ND VA
GA MI OH WA
GU MN OK WV
HI MO OR WI
If you are amending your registration to stop your notice filings from going to a state that currently receives them and you do not want to pay that state's
notice filing fee for the coming year, your amendment must filed before the end of the year (December 31).
Item 3 - Form Of Organization
A. How are you organized?
Corporation Sole Proprietorship Limited Liability Partnership (LLP)
Partnership Limited Liability Company (LLC) Other (specify):
If you are changing your response to this Item, see Part 1A Instruction 4.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 6 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 3 - Form Of Organization (Continued)
B. In what month does your fiscal year end each year?
December
C. Under the laws of what state or country are you organized?
ILLINOIS
If you are a partnership, provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor, provide the
name of the state or country where you reside.
If you are changing your response to this Item, see Part 1A Instruction 4.
Item 4 - Successions
YES NO
A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser?
If "Yes," complete Item 4.B. and Section 4 of Schedule D.
B. Date of Succession (MM/DD/YYYY)
If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No". See Part 1A
Instruction 4.
Item 5 - Information About Your Advisory Business
5. Responses to this item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making
regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly-formed advisers for completing this Item 5.
Employees
A. Approximately how many employees do you have? Include full and part-time employees but do not include any clerical workers.
1- 5 6-10 11-50 51-250 251-500
501-1,000 More than 1,000. If more than 1,000, how many?
(round to the nearest 1,000)
B.
(1) Approximately how many of these employees perform investment advisory functions (including research)?
0 1-5 6-10 11-50 51-250
251-500 501-1,000 More than 1,000. If more than 1,000,how many?
(round to the nearest 1,000)
(2) Approximately how many of these employees are registered representatives of a broker-dealer?
0 1-5 6-10 11-50 51-250
251-500 501-1,000 More than 1,000. If more than 1,000,how many?
(round to the nearest 1,000)
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Items 5.A(1) and 5.B(2). If an employee performs
more than one function, you should count that employee in each of your responses to Item 5.B(1) and 5.B(2).
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 7 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 5 - Information About Your Advisory Business (Continued)
(3) Approximately how many firms or other persons solicit advisory clients on your behalf?
0 1-5 6-10 11-50 51-250
251-500 501-1,000 More than 1,000. If more than 1,000,how many?
(round to the nearest 1,000)
In your response to Item 5.B(3), do not count any of your employees and count a firm only once -- do not count each of the firm's employees that
solicit on your behalf.
Clients
C. To approximately how many clients did you provide investment advisory services during your most-recently completed fiscal year?
0 1-10 11-25 26-100 101-250
251-500 More than 500. If more than 500, How many?
(round to the nearest 500)
D. What types of clients do you have? Indicate the approximate percentage that each type of client comprises None Up
of your total number of clients. to 11- 26- 51- More
10% 25% 50% 75% Than
75%
(1) Individuals (other than high net worth individuals)
(2) High net worth individuals
(3) Banking or thrift institutions
(4) Investment companies (including mutual funds)
(5) Pension and profit sharing plans (other than plan participants)
(6) Other pooled investment vehicles (e.g., hedge funds)
(7) Charitable organizations
(8) Corporations or other businesses not listed above
(9) State or municipal government entities
(10) Other:
The category "individuals" includes trusts, estates, 401(k) plans and IRAs of individuals and their family members, but does not include businesses organized
as sole proprietorships.
Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act
of 1940, check "None" in response to Item 5.D(4).
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 8 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 5 - Information About Your Advisory Business (Continued)
Compensation Arrangements
E. You are compensated for your investment advisory services by (check all that apply):
(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):
Assets Under Management
YES NO
F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios?
(2) If yes, what is the amount of your assets under management and total number of accounts?
U.S. Dollar Amount Total Number of Accounts
Discretionary: (a) $ .00 (d)
Non-Discretionary: (b) $ .00 (e)
Total (c) $ .00 (f)
Part 1A Instruction 5.b. explains how to calculate your assets under management. You must follow these instructions carefully when completing this Item.
Advisory Activities
G. What type(s) of advisory services do you provide? Check all that apply.
(1) Financial planning services
(2) Portfolio management for individuals and/or small businesses
(3) Portfolio management for investment companies
(4) Portfolio management for business or institutional clients (other than investment companies)
(5) Pension consulting services
(6) Selection of other advisers
(7) Publication of periodicals or newsletters
(8) Security ratings or pricing services
(9) Market timing services
(10) Other (specify):
Do not check Item 5.G(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the
Investment Company Act of 1940.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 9 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 5 - Information About Your Advisory Business (Continued)
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
0 1-10 11-25 26-50 51-100
101-250 251-500 More than 500. If more than 500, how many?
(round to the nearest 500)
I. If you participate in a wrap fee program, do you (check all that apply):
(1) sponsor the wrap fee program?
(2) act as portfolio manager for the wrap fee program?
If you are a portfolio manager for a wrap fee program, list the names of the programs and their sponsors in Section 5.I(2) of Schedule D.
If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a
wrap fee program, do not check either item 5.I(1) or 5.I(2).
Item 6 - Other Business Activities
In this Item, we request information about your other business activities.
A. You are actively engaged in business as a (check all that apply):
(1) Broker-dealer
(2) Registered representative of a broker-dealer
(3) Futures commission merchant, commodity pool operator, or commodity trading advisor
(4) Real estate broker, dealer, or agent
(5) Insurance broker or agent
(6) Bank (including a separately identifiable department or division of a bank)
(7) Other financial product salesperson (specify):
YES NO
B. (1) Are you actively engaged in any other business not listed in Item 6A (other than giving investment advice)?
(2) If yes, is this other business your primary business?
If "yes", describe this other business on Section 6.B. of Schedule D.
YES NO
(3) Do you sell products or provide services other than investment advice to your advisory clients?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 10 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 7 - Financial Industry Affiliations
In this item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may
occur between you and your clients.
Item 7 requires you to provide information about you and your related persons. Your related persons are all of your advisory affiliates and any person that is
under common control with you.
A. You have a related person that is a (check all that apply):
(1) broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) investment company (including mutual funds)
(3) other investment adviser (including financial planners)
(4) futures commission merchant, commodity pool operator, or commodity trading advisor
(5) banking or thrift institution
(6) accountant or accounting firm
(7) lawyer or law firm
(8) insurance company or agency
(9) pension consultant
(10) real estate broker or dealer
(11) sponsor or syndicator of limited partnerships
If you checked Item 7.A(3), list on Section 7.A. of Schedule D all your related persons that are investment advisers.
YES NO
B. Are you or any related person a general partner in an investment-related limited partnership or manager of an investment-related limited
liability company?
If "yes", for each limited partnership or limited liability company, complete Section 7.B. of Schedule D.
Form ADV, Item 8 - Participation or Interest in Client Transactions
In this item, we request information about your participation and interest in your clients' transactions. Like Item 7, this information identifies areas in which
conflicts of interest may occur between you and your clients.
Like Item 7, Item 8 requires you to provide information about you and your related persons.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 11 Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Item 8 - Participation or Interest in Client Transaction
Proprietary Interest in Client Transactions
A. Do you or any related person: Yes No
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)?
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary
(ownership) interest (other than those mentioned in Items 8A(1) or (2))?
Sales Interest in Client Transactions
B. Do you or any related person: Yes No
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory
client securities are sold to or bought from the brokerage customer (agency cross transactions)?
(2) recommend purchase of securities to advisory clients for which you or any related person serves as underwriter, general or managing
partner, or purchaser representative?
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than
the receipt of sales commissions as a broker or registered representative of a broker-dealer)?
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the: Yes No
(1) securities to be bought or sold for a client's account?
(2) amount of securities to be bought or sold for a client's account?
(3) broker or dealer to be used for a purchase or sale of securities for a client's account?
(4) commission rates to be paid to a broker or dealer for a client's securities transactions?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 12 Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Item 8 - Participation or Interest in Client Transactions
D. Do you or any related person recommend brokers or dealers to clients?
E. Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party in
connection with client securities transactions?
F. Do you or any related person, directly or indirectly, compensate any person for client referrals?
In responding to this Item 8.F., consider in your response all cash and non-cash compensation that you or a related person gave any person in
exchange for client referrals, including any bonus that is based, at least in part, on the number or amount of client referrals.
Form ADV, Item 9 - Custody
In this item, we ask you whether you or a related person has custody of client assets.
A. Do you have custody of any advisory clients': Yes No
(1) cash or bank accounts?
(2) securities?
B. Do any of your related persons have custody of any of your advisory clients':
(1) cash or bank accounts?
(2) securities?
C. If you answered "yes" to either 9B(1) or 9B(2), is that related person a broker-dealer registered under Section 15 of the Securities Exchange
Act of 1934?
Form ADV, Item 10 - Control Persons
In this item, we ask you to identify every person that, directly or indirectly, controls you.
If you are submitting an initial application, you must complete Schedule A and Schedule B. Schedule A asks for information about your direct owners and
executive offices. Schedule B asks for information about your indirect owners. If this is an amendment and you are updating information you reported on
either Schedule A or Schedule B (or both) that you filed with your initial application, you must complete Schedule C.
YES NO
Does any person not named in Item 1A or Schedules A, B, or C, directly or indirectly, control your management or policies?
If "yes", complete Section 10 of Schedule D.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 13 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 11 - Disclosure Information
11. In this Item, we ask for information about your disciplinary history and the disciplinary history of all your advisory affiliates. We use this information to
determine whether to grant your application for registration, to decide whether to revoke your registration or to place limitations on your activities as
an investment adviser, and to identify potential problem areas to focus on during our on-site examinations. One event may result in "yes" answers to
more than one of the questions below.
Your advisory affiliates are: (1) all of your current employees (other than employees performing only clerical, administrative, support or similar functions);
(2) all of your officers, partners, or directors (or any person performing similar functions); and (3) all persons directly or indirectly controlling you or
controlled by you. If you are a "separately identifiable department or division" (SID) of a bank, see the Glossary of Terms to determine who your
advisory affiliates are.
If you are registered or registering with the SEC, you may limit your disclosure of any event listed in Item 11 to ten years following the date of the event. If
you are registered or registering with a state, you must respond to the questions as posed; you may, therefore, limit your disclosure to ten years following the
date of an event only in responding to Items 11.A(1), 11.A(2), 11.B(1), 11.B(2), 11.D(4), and 11.H(1)(a). For purposes of calculating this ten-year period, the
date of an event is the date the final order, judgment, or decree was entered, or the date any rights of appeal from preliminary orders, judgments, or decrees
lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the questions in this Item 11.
For "yes" answers to the following questions, complete a Criminal Action DRP
A. In the past ten years, have you or any advisory affiliate: YES NO
(1) been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any felony?
(2) been charged with any felony?
If you are registered or registering with the SEC, you may limit your response to Item 11.A(2) to charges that are currently pending.
B. In the past ten years have you or any advisory affiliate:
(1) been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving:
investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery,
perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(2) been charged with a misdemeanor specified in 11B(1)?
If you are registered or registering with the SEC, you may limit your response to Item 11.B(2) to charges that are currently pending.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 14 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 11 - Disclosure Information (Continued)
For "yes" answers to the following questions, complete a Regulatory Action DRP
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: YES NO
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
(3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business
denied, suspended, revoked, or restricted?
(4) entered an order against you or any advisory affiliate in connection with investment-related activity?
(5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any
activity?
D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:
(1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?
(2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
(3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business
denied, suspended, revoked, or restricted?
(4) in the past ten years, entered an order against you or any advisory affiliate in connection with investment-related activity?
(5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license or otherwise prevented you or any advisory
affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?
E. Has any self-regulatory organization or commodities exchange ever:
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule
violation" under a plan approved by the SEC)?
(3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business
denied, suspended, revoked, or restricted?
(4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending
you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 15 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 11 - Disclosure Information (Continued)
YES NO
F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or
suspended?
G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 11C, 11D, or
11E?
For "yes" answers to the following questions, complete a Civil Judicial Action DRP
H. (1) Has any domestic or foreign court: YES NO
(a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?
(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?
(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate
by a state or foreign financial regulatory authority?
(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?
Item 12 - Small Businesses
The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, we need to determine
whether you meet the definition of "small business" or "small organization" under rule 0-7.
Answer this Item 12 only if you are registered or registering with the SEC and you indicated in response to Item 5.F(2)(c) that you have assets under
management of less than $25 million. You are not required to answer this Item 12 if you are filing for initial registration as a state adviser, amending a
current state registration, or switching from SEC to state registration.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Page 16 Rev. 02/2001
10/22/2002 4:36:30 PM
Item 12 - Small Businesses (Continued)
For purposes of this Item 12 only:
Total Assets refers to the total assets of a firm, rather than the assets managed on behalf of clients. In determining your or another person's total
assets, you may use the total assets shown on a current balance sheet (but use total assets reported on a consolidated balance sheet with
subsidiaries included, if that amount is larger).
Control means the power to direct or cause the direction of the management or policies of a person, whether through ownership of securities, by
contract, or otherwise. Any person that directly or indirectly has the right to vote 25 percent or more of the voting securities, or is entitled to 25
percent or more of the profits, of another person is presumed to control the other person.
YES NO
A. Did you have total assets of $5 million or more on the last day of your most recent fiscal year?
If "yes", you do not need to answer Items 12.B and 12.C.
B. Do you:
(1) control another investment adviser that had assets under management of $25 million or more on the last day of its most recent fiscal
year?
(2) control another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal
year?
C. Are you:
(1) controlled by or under common control with another investment adviser that had assets under management of $25 million or more on
the last day of its most recent fiscal year?
(2) controlled by or under common control with another person (other than a natural person) that had total assets of $5 million or more on
the last day of its most recent fiscal year?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Part 1B, Page 1 Rev. 02/2001
10/22/2002 4:36:30 PM
You must complete this Part 1B only if you are applying for registration, or are registered, as an investment adviser with any of the state securities
authorities.
Part 1B Item 1 - State Registration
Complete this Item 1 if you are submitting an initial application for state registration or requesting additional state registration(s). Check the boxes next
to the states to which you are submitting this application. If you are already registered with at least one state and are applying for registration with an
additional state or states, check the boxes next to the states in which you are applying for registration. Do not check the boxes next to the states in
which you are currently registered or where you have an application for registration pending.
AL ID MS PA
AK IL MT PR
AR IN NE RI
AZ IA NV SC
CA KS NH SD
CO KY NJ TN
CT LA NM TX
DE ME NY UT
DC MD NC VT
FL MA ND VA
GA MI OH WA
GU MN OK WV
HI MO OR WI
Part 1B Item 2 - Additional Information
A. Person responsible for supervision and compliance:
Name:
LARRY KNOBLE
Title:
OWNER
Telephone: Fax:
815-895-7526
Number and Street 1: Number and Street 2:
1205 DEKALB AVE
City: State: Country: ZIP/Postal Code:
SYCAMORE IL DEKALB 60178
Email address, if available:
If this address is a private residence, check this box:
B. Bond/Capital Information, if required by your home state.
(1) Name of Issuing Insurance Company:
(2) Amount of Bond:
$ .00
(3) Bond Policy Number:
Yes No
(4) If required by your home state, are you in compliance with your home state's minimum capital requirements?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Part 1B, Page 2 Rev. 02/2001
10/22/2002 4:36:30 PM
Part 1B Item 2 - Additional Information (Continued)
Yes No
For "yes" answers to the following question, complete a Bond DRP.
C. Has a bonding company ever denied, paid out on, or revoked a bond for you?
For "yes" answers to the following question, complete a Judgment/Lien DRP:
D. Do you have any unsatisfied judgments or liens against you?
For "yes" answers to the following questions, complete an Arbitration DRP:
E. Are you, any advisory affiliate, or any management person currently the subject of, or have you , any advisory affiliate, or any management
person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following:
(1) any investment or an investment-related business of activity?
(2) fraud, false statement, or omission?
(3) theft, embezzlement, or other wrongful taking of property?
(4) bribery, forgery, counterfeiting, or extortion?
(5) dishonest, unfair, or unethical practices?
For "yes" answers to the following questions, complete a Civil Judicial Action DRP:
F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person
been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following:
(1) an investment or investment-related business or activity?
(2) fraud, false statement, or omission?
(3) theft, embezzlement, or other wrongful taking of property?
(4) bribery, forgery, counterfeiting, or extortion?
(5) dishonest, unfair, or unethical practices?
G. Other Business Activities
(1) You are actively engaged in business as a(n) (check all that apply):
Attorney
Certified Public Accountant
Tax Preparer
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Part 1B, Page 3 Rev. 02/2001
10/22/2002 4:36:30 PM
Part 1B Item 2 - Additional Information (Continued)
(2) If you are actively engaged in any business other than those listed in Item 6.A of Part 1A or Item 2.G(1) of Part 1B, describe the business and the
approximate amount of time spent on that business:
H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled:
Securities Non-Securities
Investments Investments
Under $100,000
$100,001 to $500,000
$500,001 to $1,000,000
$1,000,001 to $2,500,000
$2,500,001 to $5,000,000
More than $5,000,000
If securities investments are over $5,000,000, how much? (round to the nearest $1,000,000)
If non-securities investments are over $5,000,000, how much? (round to the nearest $1,000,000)
Yes No
I. Custody
(1) Do you withdraw advisory fees directly from your clients' accounts?
(2) Do you act as a general partner for any partnership or trustee for any trust in which your advisory clients are either partners of the
partnership or beneficiaries of the trust?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Part 1B, Page 4 Rev. 02/2001
10/22/2002 4:36:30 PM
Part 1B Item 2 - Additional Information (Continued)
(3) If you answered "yes" to Item 2.I(1) or 2.I(2), respond to the following:
(a) Do you send a copy of your invoice to the custodian or trustee at the same time that you send a copy to the client?
(b) Do you send quarterly statements to your clients showing all disbursements for the custodian account, including the amount of the
advisory fees?
(c) Do your clients provide written authorization permitting you to be paid directly for their accounts held by the custodian or trustee?
(d) If you are the general partner of a partnership, have you engaged an attorney or an independent certified public accountant to provide
authority permitting each direct payment or any transfer of funds or securities from the partnership account?
(4) Do you require the prepayment of fees of more than $500 per client and for six months or more in advance?
Yes No
J. If you are organized as a sole proprietorship, please answer the following:
(1) (a) Have you passed, on or after January 1, 2000, the Series 65 examination?
(b) Have you passed, on or after January 1, 2000, the Series 66 examination and also passed, at any time, the Series 7 examination?
(2) (a) Do you have any investment advisory professional designations?
If "no", you do not need to answer Item 2.J(2)(b).
(b) I have earned and I am in good standing with the organization that issued the following credential:
Certified Financial Planner ("CFP")
Chartered Financial Analyst ("CFA")
Chartered Financial Consultant ("ChFC")
Chartered Investment Counselor ("CIC")
Personal Financial Specialist ("PFS")
None of the above
(3) Your Social Security Number: xxx-xx-xxxx
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE A Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule A
1. Complete Schedule A only if you are submitting an initial application. Schedule A asks for information about your direct owners and executive officers.
Use Schedule C to amend this information.
2. Direct Owners and Executive Officers. List below the names of:
(a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer, director, and individuals
with similar status or functions;
(b)
if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a
public reporting company (a company subject to Section 12 or 15(d) of the Exchange Act);
Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a
class of your voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild,
grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-
law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to
purchase the security.
(c) if you are organized as a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or
have contributed, 5% or more of your capital;
(d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has
contributed, 5% or more of your capital, the trust and each trustee; and
(e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed,
5% or more of your capital, and (ii) if managed by elected managers, all elected managers.
3. Do you have any indirect owners to be reported on Schedule B? Yes No
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or
"I" if the owner or executive officer is an individual.
5. Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or
member; and for shareholders or members, the class of securities owned (if more than one is issued).
6. Ownership codes are: NA - less than 5% B - 10% but less than 25% D - 50% but less than 75%
A - 5% but less than 10% C - 25% but less than 50% E - 75% or more
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person
does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and
trustees are control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
Full Legal Name DE/FE/I Title or Date Title or Status Own. Control PR CRD # (or S.S. No. and Date of Birth, IRS Tax #,
Status Acquired Code Person Emp. ID)
KNOBLE, LARRY DE OWNER 01/1998 E Y N 123479
HENERY
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE B Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule B
1. Complete Schedule B only if you are submitting an initial application. Schedule B asks for information about your indirect owners; you must first
complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information.
2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below:
(a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or
direct the sale of, 25% or more of a class of a voting security of that corporation;
For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent,
grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same
residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
(b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon
dissolution, or have contributed, 25% or more of the partnership's capital;
(c) in the case of an owner that is a trust, the trust and each trustee; and
(d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have
contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, all elected managers.
3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of
the Exchange Act) is reached, no further ownership information need be given.
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or
"I" if the owner is an individual.
5. Complete the Status column by entering the owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or
members, the class of securities owned (if more than one is issued).
6. Ownership codes are: C - 25% but less than 50% E - 75% or more
D - 50% but less than 75% F - Other (general partner, trustee, or elected manager)
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person
does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and
trustees are control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
No Indirect Owner Information Filed
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE C Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule C
1. Use Schedule C only to amend information requested on either Schedule A or Schedule B. Refer to Schedule A and Schedule B for specific instructions for
completing this Schedule C. Complete each column.
2. In the Type of Amendment column, indicate "A" (addition), "D" (deletion), or "C" (change in information about the same person).
3. Ownership NA - less than 5% C - 25% but less than 50% F - Other (general partner, trustee, or elected manager)
codes are: A - 5% but less than 10% D - 50% but less than 75%
B - 10% but less than 25% E - 75% or more
4. List below all changes to Schedule A (Direct Owners and Executive Officers):
No Changes to Direct Owner / Executive Officer Information Filed
5. List below all changes to Schedule B (Indirect Owners):
No Changes to Indirect Owner Information Filed
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE D Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule D Page 1
Certain items in Part 1A of Form ADV require additional information on Schedule D. Use this Schedule D Page 1 to report details for items listed below. Report
only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
Form ADV, Schedule D Section 1.B. - Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D for each business name.
No Information Filed
Form ADV, Schedule D Section 1.F. - Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Page 1 for each location. If you are applying for registration, or are registered, only with the SEC, list only the
largest five (in terms of numbers of employees).
No Information Filed
Form ADV, Schedule D Section 1.I. - World Wide Web Site Addresses
List your World Wide Web site addresses. You must complete a separate Schedule D for each World Wide Web site address.
No Information Filed
Form ADV, Schedule D Section 1.K. - Locations of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You
must complete a separate Schedule D Page 1 for each location.
No Information Filed
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE D, Page 2 Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule D Page 2
Use this Schedule D Page 2 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do
not repeat previously submitted information.
Form ADV, Schedule D Section 1.L. - Registration with Foreign Financial Regulatory Authorites
List the name, in English, of each foreign financial regulatory authority and country with which you are registered. You must complete a separate Schedule D
Page 2 for each foreign financial regulatory authority with whom you are registered.
No Information Filed
Form ADV, Schedule D Section 2.A(7) - Affiliated Adviser
If you are relying on the exemption in rule 203A-2(c) from the prohibition on registration because you control, are controlled by, or are under common
control with an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered
adviser, provide the following information:
Name of Registered Investment Adviser
CRD Number of Registered Investment Adviser (if any)
SEC Number of Registered Investment Adviser
Form ADV, Schedule D Section 2.A(8) - Newly Formed Adviser
If you are relying on rule 203A-2(d), the newly formed adviser exemption from the prohibition on registration, you are required to make certain
representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required
representations. You must make both of these representations.
I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be
eligible to register with the SEC within 120 days after the date my registration with the SEC becomes effective.
I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by
Section 203A(a) of the Advisers Act from registering with the SEC.
Form ADV, Schedule D Section 2.A(9) - Multi-State Adviser
If you are relying on rule 203A-2(e), the multi-state adviser exemption from the prohibition on registration, you are required to make certain
representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required
representations.
If you are applying for registration as an investment adviser with the SEC, you must make both of these representations
I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 30 or more states to register as an
investment adviser with the securities authorities of those states.
I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer
than 25 states to register as an investment adviser with the securities authorities of those states.
If you are submitting your annual updating amendment, you must make this representation:
Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am
required by the laws of at least 25 states to register as an investment adviser with the securities authorities in those states.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE D, Page 3 Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule D Page 3
Use this Schedule D Page 3 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do
not repeat previously submitted information.
Form ADV, Schedule D Section 2.A(10) - SEC Exemptive Order
No Information Filed
Form ADV, Schedule D Section 4 - Successions
Complete the following information if you are succeeding to the business of a currently-registered investment adviser. If you acquired more than one firm in
the succession you are reporting on this Form ADV, you must complete a separate Schedule D Page 3 for each acquired firm. See Part 1A Instruction 4.
No Information Filed
Form ADV, Schedule D Section 5.I(2) - Wrap Fee Programs
If you are a portfolio manager for one or more wrap fee programs, list the name of each program and its sponsor. You must complete a separate Schedule D
page 3 for each wrap fee program for which you are a portfolio manager.
No Information Filed
Form ADV, Schedule D Section 6.B. - Description of Primary Business
No Information Filed
Form ADV, Schedule D Section 7.A. - Affiliated Advisers
Complete the following information for each adviser with whom you are affiliated. You must complete a separate Schedule D Page 3 for each affiliated
adviser.
No Information Filed
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE D, Page 4 Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule D Page 4
Use this Schedule D Page 4 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do
not repeat previously submitted information.
Form ADV, Schedule D Section 7.B. - Limited Partnership Participation
You must complete a separate Schedule D Page 4 for each limited partnership in which you or a related person is a general partner and each limited liability
company for which you or a related person is a manager.
No Information Filed
Form ADV, Schedule D Section 10 - Control Persons
You must complete a separate Schedule D Page 4 for each control person not named in Item 1.A. or Schedules A, B, or C that directly or indirectly controls
your management or policies.
No Information Filed
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, SCHEDULE D, Page 5 Rev. 02/2001
10/22/2002 4:36:30 PM
Form ADV, Schedule D Page 5
Use this Schedule D Page 5 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do
not repeat previously submitted information.
Form ADV, Schedule D - Miscellaneous
You may use the space below to explain a response to an Item or to provide any other information.
Miscellaneous Text:
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, DRP Pages Rev. 02/2001
10/22/2002 4:36:30 PM
Criminal DRPs
No Information Filed
Regulatory Action DRPs
No Information Filed
Civil Judicial DRPs
No Information Filed
Bond DRPs
No Information Filed
Judgment/Lien DRPs
No Information Filed
Arbitration DRPs
No Information Filed
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
Primary Business Name: KNOBLE, LARRY H. CRD Number: 123479
ADV - Other-Than-Annual Amendment, Execution Pages Rev. 02/2001
10/22/2002 4:36:30 PM
Domestic Execution Page
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial application for SEC or state
registration and all amendments to registration.
Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appointeach of the Secretary of the SEC, and the Secretary of State or
other legally designated officer, of any other state in which you are submitting a notice filing, as your agents to receive service, and agree that such persons
may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for arbitration, or other process or papers, and
you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding or arbitration brought
against you in any place subject to the jurisdiction of the United States, if the action, proceeding, or arbitration (a) arises out of any activity in connection with
your investment advisory business that is subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly, upon the provisions of: (i)
the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment
Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of any state in which you are submitting a notice filing.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The investment adviser and I both certify, under penalty
of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any other information
submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody
or possession of these books and records to make them available to federal and state regulatory representatives.
Signature Date MM/DD/YYYY
LARRY KNOBLE 10/22/2002
CRD Number
123479
Printed Name Title
LARRY KNOBLE OWNER
Non-Resident Investment Adviser Execution Page
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial application for SEC or state
registration and all amendments to registration.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the Secretary of State, or equivalent officer, of the state in which
you maintain your principal office and place of business and any other state in which you are submitting a notice filing, as your agents to receive service, and
agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for arbitration, or other
process or papers, and you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative
proceeding or arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out
of any activity in connection with your investment advisory business that is subject to the jurisdiction of the United States, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company
Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of the state in which you maintain your
principal office and place of business or of any state in which you are submitting a notice filing.
2. Appointment and Consent: Effect on Partnerships
If you are organized as a partnership, this irrevocable power of attorney and consent to service of process will continue in effect if any partner withdraws from
or is admitted to the partnership, provided that the admission or withdrawal does not create a new partnership. If the partnership dissolves, this irrevocable
power of attorney and consent shall be in effect for any action brought against you or any of your former partners.
3. Non-Resident Investment Adviser Undertaking Regarding Books and Records
By signing this Form ADV, you also agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in
Washington, D.C., at any Regional or District Office of the Commission, or at any one of its offices in the United States, as specified by the Commission, correct,
current, and complete copies of any or all records that you are required to maintain under Rule 204-2 under the Investment Advisers Act of 1940. This
undertaking shall be binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of attorney
or any of your general partners and managing agents.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the non-resident investment adviser. The investment adviser and I both certify,
under penalty of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any
other information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody
or possession of these books and records to make them available to federal and state regulatory representatives.
Signature Date MM/DD/YYYY
CRD Number
123479
Printed Name Title
State Registered Investment Adviser Execution Page
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial application for state registration
and all amendments to registration.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the legally designated officers and their successors, of the state in
which you maintain your principal office and place of business and any other state in which you are applying for registration or amending your registration, as
your agents to receive service, and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order instituting
proceedings, demand for arbitration, or other process or papers, and you further agree that such service may be made by registered or certified mail, in any
federal or state action, administrative proceeding or arbitration brought against you in any place subject to the jurisdiction of the United States, if the action,
proceeding, or arbitration (a) arises out of any activity in connection with your investment advisory business that is subject to the jurisdiction of the United
States, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture
Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of
the state in which you maintain your principal office and place of business or of any state in which you are applying for registration or amending your
registration.
2. State-Registered Investment Adviser Affidavit
If you are subject to state regulation, by signing this Form ADV, you represent that, you are in compliance with the registration requirements of the state in
which you maintain your principal place of business and are in compliance with the bonding, capital, and recordkeeping requirements of that state.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The investment adviser and I both certify, under penalty
of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any other information
submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody
or possession of these books and records to make them available to federal and state regulatory representatives.
Signature Date MM/DD/YYYY
LARRY KNOBLE 10/22/2002
CRD Number
123479
Printed Name Title
LARRY KNOBLE OWNER
© 2015 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Privacy Legal Terms & Conditions Tw Li