SEC Info - Derivative Logic, Inc.

EDGAR Submission

Header Data:

Submission Type: MA

Filer Info:

Filer:

Filer ID: 1640207

Filer CCC: XXXXXXXX

Contact:

Name: Kimberly McManus

Phone Number: 973-618-9500

Contact Email: kmcmanus@alternativereg.com

Form Data:

Firm Name: Derivative Logic, Inc.

IRS Num.: 47-3687071

Principal Office Address:

Address Info:

Address:

Street 1: 1855 SAN MIGUEL DRIVE

Street 2: SUITE 6

City: WALNUT CREEK

State or Country: CA

ZIP Code: 94596

Phone Number: 415-510-2100

Fax Number: 415-510-2101

Mailing Address Different? No

Mailing Address:

Address:

Street 1: 1855 SAN MIGUEL DRIVE

Street 2: SUITE 6

City: WALNUT CREEK

State or Country: CA

ZIP Code: 94596

Primary Web Address: www.derivativelogic.com

CCO:

Name:

First Name: Jimmy

Middle Name: Dale

Last Name: Griffin

Titles:

Title: Principal

Address:

Street 1: 1855 San Miguel Drive

Street 2: Suite 6

City: WALNUT CREEK

State or Country: CA

ZIP Code: 94596

Phone Number: 415-510-2100

Fax Number: 415-510-2101

Email: Jgriffin@derivativelogic.com

Form of Organization:

Form Org. Type:

Form Org. Types:

Corporation

Month of Fiscal Year End: December

Organized Jurisdiction:

State or Country: CA

Date of Organization: 4/8/15

Is PRC Applicant? No

Number of Employees: 2

Employees Engaged in MAA: 1

MAA Employees Reg. BD: 0

MAA Reg. IA: 0

Number of Soliciting Firms: 0

Clients Served as MA: 0

Types of Clients:

Client Types: Municipal Entities

Client Types: Non-profit organizations

Client Types: Corporations or other businesses

Number of Solicited ME: 0

Number of Solicited OP: 0

Total Number of Solicited ME and OP: 0

Types of Solicited Persons:

Solicitation Person Types:

Solicitation Person Types: Not Applicable

ME or OP Compensation Types:

Compensation Types:

Compensation Types: Hourly Charges

Compensation Types: Fixed Fees

Solicitation Compensation Types:

Compensation Types:

Compensation Types: Not Applicable

Engaged Activities:

Engaged Activity Types:

Engaged Activity Type: Advice Use Of MD

Other Activities:

Other Financial Product Advisor:

Actively Engaged Primary Business:

Is Actively Engaged? Yes

Is Primary Business? Yes

Licensed Jurisdictions: Non-Municipal Derivative Advisory

Is Engaged in Other Non-MAA Business? No

Total FIA Associated Persons: 0

Participation Interest MACT:

MACT Buy Sell From Clients? No

MACT Buy Sell Recommend to Clients? No

MACT Enter Derivatives With Clients? No

MACT Recommend Owned Interest to Clients? No

MACT Recommend to Clients Serving? No

MACT Recommend to Clients Having Other Sales Interest? No

MACT Disc. Auth. Buy Sell as MAA? No

MACT Disc. Auth. Buy Sell? No

MACT Disc. Auth. Determine Broker Dealer? No

MACT Disc. Auth. Determine Commission to Broker Dealer? No

MACT Recommend Broker Dealer to Client? No

MACT Compensate for Referrals? No

MACT Receive Compensation for Referrals? No

Disclosure Answers:

Criminal Disclosure:

Is Convicted of Felony? No

Is Charged With Felony? No

Is Org. Convicted of Felony? No

Is Org. Charged With Felony? No

Regulatory Disclosure:

Is Made False Statement? No

Is Violated Regulation? No

Is Cause of Denial? No

Is Order Against? No

Is Imposed Penalty? No

Is Unethical? No

Is Found in Violation of Regulation? No

Is Found in Cause of Denial? No

Is Order Against Activity? No

Is Denied License? No

Is Found Made False Statement? No

Is Found in Violation of Rules? No

Is Found in Cause of Suspension? No

Is Discipliend? No

Is Authorized to Act Attorney? No

Is Regulatory Complaint? No

Civil Disclosure:

Is Enjoined? No

Is Found in Violation of Regulation? No

Is Dismissed? No

Is Named in Civil Proceeding? No

Has Annual Receipts Less Than 7 Million? Yes

Is Affiliated With Receipts More Than 7 Million? No

Schedule A:

Persons:

Person:

Name:

First Name: Jimmy

Middle Name: Dale

Last Name: Griffin

Base Information:

Title Status: Principal

Status Acquired: 4/8/15

Ownership Code: D

Is Control Person? Yes

CRD Number: 002903798

Person:

Name:

First Name: Christopher

Middle Name: Rex Stafford

Last Name: Evans

Base Information:

Title Status: Principal

Status Acquired: 4/8/15

Ownership Code: D

Is Control Person? Yes

MA Execution Page:

Signature:

Signature: Jimmy Griffin

Signer Name: Jimmy Griffin

Title: Principal

Date: 4/23/15

CRD Number: 002903798

Controls:

Is Sole Propietor? No

Has Name Change? No

Has DBA Name? No

Has Previous DBA Name? No

Has Additional DBA Names? No

Has MAT Reg.? No

Additional Regs.? No

Additional Offices? No

Has Mailing Address? No

Has Additional Websites? No

Has Books Records? No

Is Registered FFRA? No

Is Affiliated Other Bus.? No

Independent Business Employee? No

Receive Compensation for MAA From Other Clients? No

Is Succeeding Applicant? No

Is CP for Applicant Policy? No

Is PR Company Under 1215? No

Has Schedule B? No

Is Section 12 or 15 Reporting Company? No

Derivative Logic, Inc. – ‘MA’ on 4/23/15

On: Thursday, 4/23/15, at 2:48pm ET · Accession #: 1640207-15-1 · File #: 867-01772

Application for Municipal Advisor Registration — Form MA
Filing Table of Contents

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

Derivative Logic, Inc. – ‘MA’ on 4/23/15

On: Thursday, 4/23/15, at 2:48pm ET · Accession #: 1640207-15-1 · File #: 867-01772

Application for Municipal Advisor Registration — Form MAFiling Table of Contents

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

Application for Municipal Advisor Registration — Form MA
Filing Table of Contents