AGP LP 519 Alpha Group Caudal Paul Barren
Item 3. Table of Contents
Item 1. Cover Page 1
Item 2. Material Changes 1
Item 3. Table of Contents 2
Item 4. Advisory Business 3
Item 5. Fees and Compensation 5
Item 6. Performance-Based Fees and Side-By-Side Management 11
Item 7. Types of Clients 11
Item 8. Methods of Analysis, Investment Strategies and Risk of Loss 11
Item 9. Disciplinary Information 15
Item 10. Other Financial Industry Activities and Affiliation 15
Item 11. Code of Ethics, Participation or Interest In Client Transactions and
Personal Trading 16
Item 12. Brokerage Practices 17
Item 13. Review of Accounts 20
Item 14. Client Referrals and Other Compensation 21
Item 15. Custody 21
Item 16. Investment Discretion 21
Item 17. Voting Client Securities 21
Item 18. Financial Information 21
Item 19. Requirements for State-Registered Advisers ......................................... 22
Privacy Policy 22
Trade Error Policy 22
2
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087795
CONFIDENTIAL SONY GM_00233979
EFTA01386207