DEVONSHIRE RESEARCH GROUP, LLC (CRD# 283618)


Part 1B Item 2 - Additional Information
Complete this Item 2A. only if the person responsible for supervision and compliance does not appear in Item 1J. or 1K. of Form ADV Part 1A:
A.   Person responsible for supervision and compliance:
Name: Title:
Telephone: Fax:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Email address, if available:
If this address is a private residence, check this box: Checkbox not checked
 
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?  Radio button not selected  Radio button not selected
Part 1B - Disclosure Questions
BOND DISCLOSURE
For "yes" answers to the following question, complete a Bond DRP. Yes No
  C.   Has a bonding company ever denied, paid out on, or revoked a bond for you, any advisory affiliate, or any management person?  Radio button not selected  Radio button selected, changed
 
JUDGMENT/LIEN DISCLOSURE
For "yes" answers to the following question, complete a Judgment/Lien DRP. Yes No
D. Are there any unsatisfied judgments or liens against you, any advisory affiliate, or any management person?  Radio button not selected  Radio button selected, changed
 
ARBITRATION DISCLOSURE
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: Yes No
(1) any investment or an investment-related business or activity?  Radio button not selected  Radio button selected, changed
(2) fraud, false statement, or omission?  Radio button not selected  Radio button selected, changed
(3) theft, embezzlement, or other wrongful taking of property?  Radio button not selected  Radio button selected, changed
(4) bribery, forgery, counterfeiting, or extortion?  Radio button not selected  Radio button selected, changed
(5) dishonest, unfair, or unethical practices?  Radio button not selected  Radio button selected, changed
 
CIVIL JUDICIAL DISCLOSURE
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: Yes No
(1) an investment or investment-related business or activity?  Radio button not selected  Radio button selected, changed
(2) fraud, false statement, or omission?  Radio button not selected  Radio button selected, changed
(3) theft, embezzlement, or other wrongful taking of property?  Radio button not selected  Radio button selected, changed
(4) bribery, forgery, counterfeiting, or extortion?  Radio button not selected  Radio button selected, changed
(5) dishonest, unfair, or unethical practices?  Radio button not selected  Radio button selected, changed
 

Part 1B - Business Information
G.   Other Business Activities
(1)  Are you, any advisory affiliate, or any management person actively engaged in business as a(n) (check all that apply):
Checkbox not checked  Tax Preparer
Checkbox not checked  Issuer of securities
Checkbox not checked  Sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
Checkbox not checked  Sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Checkbox not checked  Real estate adviser
(2) If you, any advisory affiliate, or any management person 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 Investments Non-Securities Investments
Under $100,000  Radio button not selected  Radio button not selected
$100,001 to $500,000  Radio button not selected  Radio button not selected
$500,001 to $1,000,000  Radio button not selected  Radio button not selected
$1,000,001 to $2,500,000  Radio button not selected  Radio button not selected
$2,500,001 to $5,000,000  Radio button not selected  Radio button not selected
More than $5,000,000  Radio button not selected  Radio button not selected
  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)
 
I. Custody Yes No
(1) Advisory Fees
Do you withdraw advisory fees directly from your clients' accounts? If you answered "yes", respond to the following:  Radio button not selected  Radio button selected, changed
(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?  Radio button not selected  Radio button not selected
(b) Does the custodian send quarterly statements to your clients showing all disbursements for the custodian account, including the amount of the advisory fees?  Radio button not selected  Radio button not selected
(c) Do your clients provide written authorization permitting you to be paid directly for their accounts held by the custodian or trustee?  Radio button not selected  Radio button not selected
(2) Pooled Investment Vehicles and Trusts
(a) (i) Do you or a related person act as a general partner, managing member, or person serving in a similar capacity, for any pooled investment vehicle for which you are the adviser to the pooled investment vehicle, or for which you are the adviser to one or more of the investors in the pooled investment vehicle? If you answered "yes", respond to the following:  Radio button not selected  Radio button selected, changed
(a) (ii) As the general partner, managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle?
   Attorney  Radio button not selected  Radio button not selected
   Independent certified public accountant  Radio button not selected  Radio button not selected
   Other independent party  Radio button not selected  Radio button not selected
         Describe the independent party:
        
For purposes of this Item 2I.2(a), "Independent party" means a person that: (A) is engaged by the investment adviser to act as a gatekeeper for the payment of fees, expenses and capital withdrawals from the pooled investment; (B) does not control and is not controlled by and is not under common control with the investment adviser; (C) does not have, and has not had within the past two years, a material business relationship with the investment adviser; and (D) shall not negotiate or agree to have material business relations or commonly controlled relations with an investment adviser for a period of two years after serving as the person engaged in an independent party agreement.
(b) Do you or a related person act as investment adviser and a trustee for any trust, or act as a trustee for any trust in which your advisory clients are beneficiaries of the trust?  Radio button not selected  Radio button selected, changed
(3) Do you require the prepayment of fees of more than $500 per client and for six months or more in advance?  Radio button selected, changed  Radio button not selected
J. If you are organized as a sole proprietorship, please answer the following: Yes No
(1) (a) Have you passed, on or after January 1, 2000, the Series 65 examination?  Radio button not selected  Radio button not selected
(b) Have you passed, on or after January 1, 2000, the Series 66 examination and also passed, at any time, the Series 7 examination?  Radio button not selected  Radio button not selected
(2) (a) Do you have any investment advisory professional designations?  Radio button not selected  Radio button not selected
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:
Checkbox not checked  Certified Financial Planner ("CFP")
Checkbox not checked  Chartered Financial Analyst ("CFA")
Checkbox not checked  Chartered Financial Consultant ("ChFC")
Checkbox not checked  Chartered Investment Counselor ("CIC")
Checkbox not checked  Personal Financial Specialist ("PFS")
Checkbox not checked  None of the above
(3)
Your Social Security Number:
 
K. If you are organized other than as a sole proprietorship, please provide the following:
(1) Indicate the date you obtained your legal status. Date of formation: 03/03/2016
(2)
Indicate your IRS Empl. Ident. No.: