BRYNWOOD PARTNERS (CRD# 158087)


Item 8 Participation or Interest in Client Transactions
In this Item, we request information about your participation and interest in your clients' transactions. This information identifies additional 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, including foreign affiliates.
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)?  Radio button not selected  Radio button selected, changed
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?  Radio button not selected  Radio button selected, changed
(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 8.A.(1) or (2))?  Radio button not selected  Radio button selected, changed
 
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)?  Radio button not selected  Radio button selected, changed
(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?  Radio button not selected  Radio button selected, changed
(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)?  Radio button not selected  Radio button selected, changed
 
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?  Radio button selected, changed  Radio button not selected
(2) amount of securities to be bought or sold for a client's account?  Radio button selected, changed  Radio button not selected
(3) broker or dealer to be used for a purchase or sale of securities for a client's account?  Radio button selected, changed  Radio button not selected
(4) commission rates to be paid to a broker or dealer for a client's securities transactions?  Radio button selected, changed  Radio button not selected
 
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons?  Radio button not selected  Radio button selected, changed
E. Do you or any related person recommend brokers or dealers to clients?  Radio button selected, changed  Radio button not selected
 
F. If you answer "yes" to E above, are any of the brokers or dealers related persons?  Radio button not selected  Radio button selected, changed
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions?  Radio button not selected  Radio button selected, changed
(2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934?  Radio button not selected  Radio button not selected
H. Do you or any related person, directly or indirectly, compensate any person for client referrals?  Radio button not selected  Radio button selected, changed
 
I. Do you or any related person, directly or indirectly, receive compensation from any person for client referrals?  Radio button not selected  Radio button selected, changed
 
In responding to Items 8.H and 8.I., consider all cash and non-cash compensation that you or a related person gave to (in answering Item 8.H) or received from (in answering Item 8.I) 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.