| Manager Compliance Questionnaire |
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| March 31, 2010 |
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| 1. |
Have there been any
changes in your organization? Have you undergone any change in ownership or
control? |
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During the 1Q01, the firm did
not have any organization changes, however, DHJA will be purchasing the
remaining AMG interest and will affect a name change to Garcia Hamilton &
Associates by the end of the year (2010).
At that time, the firm will be 100% employee-owned with almost 75%
owned by women and ethnic minority partners. |
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| 2. |
Have there been any
changes in your investment philosophy? |
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Since the inception of Davis
Hamilton Jackson & Associates (DHJA), there have been no changes in our
investment philosophy. |
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| 3. |
Have there been any
changes in your staff of investment professionals? |
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There have been no changes to
the investment professional staff. |
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| 4. |
Have you lost a
substantial amount of business (amount of percentage of assets under
management)? |
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During the 1Q10, the firm lost
4 accounts with an aggregate value of $90.5 million. The lost accounts equate to 4.3% of the
firm's AUM as of March 31, 2010. |
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| 5. |
Have you gained a
substantial amount of business (amount of percentage of assets under
management)? |
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During the 1Q10, the firm
gained 4 accounts with an aggregate value of $140.6 million which equates to
6.8% of the firm's AUM as of March 31, 2010. |
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| 6. |
Have there been any
new investigations begun by any state or federal government or their
agencies, or any charges filed, with regard to any division or unit of your
company, and in particular anyone who directly or indirectly performs
services for this client? Please provide details (if there is any doubt,
please err on the side of providing too much information). |
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No, there have been no new
investigations by any state or federal government or their agencies, or any
charges filed, with regard to any division or unit or our company, and in
particular anyone who directly or indirectly
performs services for our clients. |
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| 7. |
For managers, with
fixed income portfolios that we monitor,
are you currently invested in commercial mortgage backed securities
(CMBS)? (If yes, please give % of fixed portfolio) |
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As of 1Q10, the firm did not
hold any commercial mortgage backed securities in its fixed income
portfolios. |
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| 8. |
Are you invested in
any unhedged and/or levereged derivatives? |
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The firm in not invested in any
unhedged and/or levereged derivatives. |
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| 9. |
What percentage of
equity is international?
The manager must immediately notify the Board and the Consultant when
the international exposure reaches ten percent (10%). An explanation will be
needed as to why the manager is changing their discipline. (This does not
apply to managers that are 100% international equity and to those that have
been previously given permission by the board and the consultant) |
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As of 1Q10, the firm's Quality
Growth Equity product did not hold any international securities. |
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| 10. |
Are you invested in
any companies on the SBA's website? (Please review list of scrutinized
companies on the following website: http://www.sbafla.com/fsb/ProtectinginvestmentsAct/tabid/402/Default.aspx |
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As of 1Q10, the firm was not
invested in any companies on the SBA website. |
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| 11 |
Name of person
completing this form (please include company name)? |
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Stephanie Roberts
Davis Hamilton Jackson & Associates, L.P. |
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Page 4a |
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