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Commonwealth Economics Partners, LLC – ‘MA-W’ on 3/22/24

On:  Friday, 3/22/24, at 9:37am ET   ·   As of:  1/22/24   ·   Accession #:  1624022-24-6   ·   File #:  867-01308

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  As Of               Filer                 Filing    For·On·As Docs:Size

 1/22/24  Commonwealth Economics Partn… LLC MA-W        3/22/24    1:4K

Notice of a Withdrawal from Registration by a Municipal Advisor   —   Form MA-W

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: MA-W        Notice of a Withdrawal from Registration by a       HTML      5K 
                Municipal Advisor -- primary_doc.xml                             




        

This ‘MA-W’ Document is an XML Data File that may be rendered in various formats:

  Form MA-W    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Notice of a Withdrawal from Registration by a Municipal Advisor
 

FORM MA-W
Notice of Withdrawal from Registration as a Municipal Advisor

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB APPROVAL

OMB Number: 3235-0681

Estimated average burden hours per response:  0.5


Please refer to the General Instructions for forms in the MA series before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

A municipal advisor must complete this Form MA-W to withdraw its municipal advisor registration with the SEC.

WARNING: Complete this form truthfully.  False statements or omissions may result in administrative or civil action or criminal prosecution. 

Filer Information


  • Filer CIK:

  • Filer CCC:

  • File Number:

Contact Information


John R. Farris

Name:

859-246-3060

Phone:

jfarris@commonwealthecon.com

Email Address:

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.


Notification Email Address:
cbolton@commonwealthecon.com

Item 1 Identifying Information

A.
Full Legal Name: The name entered here must be the same as the name entered on the registrant's most recent Form MA. Do not report a name change on this Form MA-W.
Commonwealth Economics Partners, LLC


B.
SEC File Number

Item 2 Contact Person (for Municipal Advisory Firms)

  • The registrant's contact person must be a principal or employee (not outside counsel) of the municipal advisor authorized to receive information and respond to questions about this Form MA-W.
  • Name, title, and contact information:
Farris 
John 
Russell 
Last Name:
First Name:
Middle Name:


Title

100 West Main Street 
Suite 620 
Street Address 1:
Street Address 2:

Lexington 
KENTUCKY  
40507 

City:

State/Country:

Postal Code:

859-246-3060 
jfarris@commonwealthecon.com 

Telephone Number:

Email Address:

Item 3 Money Owed to Clients

Has the registrant:

A.
Received any pre-paid municipal advisory fees for municipal advisory activities, including pre-paid services and subscription fees for publications, that have not been delivered?
radio button unchecked Yes
radio button checked No
 
If "Yes," what is the amount owed for these pre-paid services (including subscriptions)?
$
B.
Borrowed any money from clients that has not been repaid?
radio button unchecked Yes
radio button checked No
 
If "Yes," what is the amount owed for these borrowed funds?
$

Item 4 Advisory Contract Assignments

Has the registrant assigned any contracts to another person that engages in municipal advisory activities?
radio button unchecked Yes
radio button checked No
If "Yes", list on Section 4 of Schedule W1 each person to whom the registrant has assigned any such municipal advisory contracts and provide the requested information.

Item 5 Judgments and Liens

Are there any unsatisfied judgments or liens against the registrant?
radio button unchecked Yes
radio button checked No

Item 6 Books and Records

NOTE: Rule 15Ba1-8 under the Exchange Act requires a municipal advisor to preserve its books and records after the municipal advisor ceases to conduct or discontinues business as a municipal advisor.

Provide in Schedule W1 the name and address of each person who has or will have custody or possession of the municipal advisor's books and records and each location at which any of such books and records are or will be kept.

Item 7 Statement of Financial Condition

If registrant answered "Yes" to Item 3A, Item 3B, or Item 5, complete Schedule W2, disclosing the nature and amount of the registrant's assets and liabilities and net worth as of the last day of the month prior to the filing of this Form MA-W.


Execution

For a Sole Proprietor:

I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true. I further certify that the books and records of my municipal advisor-related business will be preserved and available for inspection as required by law, and that all information submitted on my most recent Form MA and Form MA-I is accurate and complete as of this date. I understand that if any information contained in this Form MA-W is different from the information contained on my Form MA and Form MA-I, the information on this Form MA-W will replace the corresponding entry on my Form MA and Form MA-I. Finally, I authorize any person having custody or possession of these books and records to make them available to authorized regulatory representatives.

 
 

Signature:

Date:
 
 

Printed Name:

Title:

For a Municipal Advisory Firm:

I, the undersigned, have signed this Form MA-W on behalf of, and with the authority of, the municipal advisor withdrawing its registration.  The advisor 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 Form MA-W, including exhibits and any other information submitted, are true.  I further certify that the municipal advisor’s books and records will be preserved and available for inspection as required by law, and that all information submitted on the municipal advisor ’s most recent Form MA is accurate and complete as of this date.  The municipal advisor and I understand that if any information contained in this Form MA-W is different from the information contained on Form MA, the information on this Form MA-W will replace the corresponding entry on the municipal advisor ’s Form MA.  Finally, I authorize any person having custodyor possession of these books and records to make them available to authorized regulatory representatives.

John R. Farris 
1/22/24 

Signature:

Date:

John R. Farris 
Managing Partner 

Printed Name:

Title:

FORM MA-W: Schedule W1

Certain items in Form MA-W may require additional information on this Schedule W1. Use this Schedule W1 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.

SECTION 6 Books and Records

Complete the following information for each person that has or will have custody or possession of any of the registrant's books and records. A separate Schedule W1 must be completed for each person . If the same person has or will have custody of any such books and records at more than one location, a separate Schedule W1 must be completed for this person for each such location.

Person with Custody:

  • Name and business address of the person with custody or possession of books and records:
Brett L. Antle

Name:
120 Cambridge Lane 
 
Street Address 1:
Street Address 2:

NICHOLASVILLE 
KENTUCKY  
40507 

City:

State/Country:

Postal Code:

859-246-3060

Telephone Number:
Is this address a private residence?
Yes No

Location of Books and Records:

Commonwealth Economics Office

Name of Location, if any:

100 West Main Street 
620 
Street Address 1:
Street Address 2:

LEXINGTON 
KENTUCKY  
40507 

City:

State/Country:

Postal Code:

859-246-3060

Telephone Number:
Is this address a private residence?
Yes No
Briefly describe the books and records kept at this location.

Company books are generally kept in accounting software and are backed up to our cloud system.


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