|
| first $50,000 | 2.00% |
| next $100,000 | 1.75% |
| next $100,000 | 1.50% |
| next $250,000 | 1.25% |
| next $500,000 | 1.00% |
| over 1 Million | negotiable |
Fees are charged after service has been provided. Some fees may be negotiable. Client may request a refund at
any point up to the last day of the fiscal quarter without being billed for the latest quarter. Client or Sharp
Investments may terminate investment advisory contract at any point with written notification.
Sharp Investments provides investment advice to individuals, investment companies, and pension and profit sharing
plans. Sharp Investments offers advice on exchange-listed securities, securities traded over-the-counter, corporate
debt securities, certificates of deposit, mutual fund shares, options contracts and futures contracts.
Sharp Investments security analysis methods include fundamental analysis and quantitative analysis based on proprietary
econometric models. Sharp Investments obtain information on securities from inspections of corporate activities,
research materials prepared by others, annual report, prospectuses and filings with the Securities and Exchange
Commission, and raw data of time series and cross sectional nature obtained for both securities and economic factors.
Investment strategies used to implement advice include long-term purchases, short-term purchases, trading, short
sales, margin transactions and options writing.
Education and Business background of Daniel R. Sharp;
Bachelor of Science degree in Electrical Engineering, 1986, Washington State University
Masters of Business Administration - Finance, 1989, Seattle University
Doctorate of Philosophy - Finance, Economics & Statistics, 2001, Portland State University
Telecommunications Engineer, 5/86 to 1/89, U S West, Seattle, WA.
Telecommunications Engineer, 1/89 to 9/92, ADC Kentrox, Portland, OR.
Full time Doctoral student, 9/92 to 3/95, Portland State University, Portland, OR.
President, Sharp Investments, Inc. 3/95 to the present.
Sharp Investments may buy or sell securities for itself that it also recommends to clients.
All securities owned by Sharp Investments are disclosed to clients.
Review of Accounts;
All accounts are reviewed by Daniel R. Sharp, daily for securities price changes, quarterly for proper diversification,
as needed for large cash inflows/outflow.
Clients are provided with a quarterly statement containing lists of securities owned, portfolio performance statistics
(AIMR compliant), and brief descriptions of changes, if any, since the last quarterly statement. In addition, clients
receive monthly statements from custodial broker/dealer.
Sharp Investments has the authority, without obtaining specific client consent, to determine the securities to
be bought and sold, as well as the amount of securities to be bought and sold, within the limits of available funds.
Sharp Investments may recommend brokers to clients, based on lowest possible commission structure combined with
financial stability of broker/dealer custodian.