AG Commodities & Precious Metals Due Diligence Report

return of 45% over 13 years. 

Reviewed performance statistics with an average 

The past performance of any trading system or methodology is not necessarily indevative of future results.

Step 2 

FarnsField Research, Inc. 

2 

SYSTEM DEVELOPER AND STRATEGY SURVEY 

SUMMARY OF SURVEY 

The purpose of this questionnaire survey is to help Farnsfield develop an understanding of the background 

experience of the trading team and strategy system developer. It also provides us with the facts and information 

needed to begin our due diligence process and determine whether or not the strategy and system is a good fit for 

our own trading. The more detailed information provided, the more efficient our process will be. 

DOCUMENTATION NEEDED 

Please provide the following documents if available. If not available please explain why. Please type in your 

answers in a blue font color as well as in italic, and email the survey back to us (DO NOT FAX). 

 

Is anyone on the team registered as a CTA or fund manager, please provide details on what entity name 

this is listed under 

Photo – formal head shot. Send 2-3 so we can choose. The photo we select will be used for your bio 

page on the website. Format – high resolution .tif or .jpg 

 

 

 

 

 

 

 

 

 

 

Track/performance Record – at least 3 years of actual real time trades in the market 

Back test of trading performance of no less than 3-years 

Sample trading charts – high resolution 

Broker statements (Personal, trading fund of client’s) 

Professional references with contact information 

Testimonials from subscribers/clients 

Articles, interviews, You Tube videos, audio files, or trading reports 

Power Point Presentation 

Website (if you have a website please provide) 

Self-Bio (Provide information on how the developer and/or team came into trading and what previous 

experience was outside of trading 

CONTACT INFORMATION OF DEVELOPER AND/OR TEAM 

Full Name of Developer: Editor & Publisher, PTA Publications, Inc. 

Additional Team Members: Brian Schad, Developer 

Company Name: PTA Publications, Inc. 

Physical address: (Undisclosed) 

Billing address: (Undisclosed) 

Telephone (cell and office): (Undisclosed) 

Email: (Undisclosed) 

CERTIFIED 

Skype / Yahoo Messenger / MSN Messenger (if applicable): N/A 

CONFIDENTIAL Page 1 of 4

Step 2 3 


TRADING BACKGROUND 

How many years of trading experience do the developer or strategy team have? 

21 years 

How did the developer or team get involved in trading? My Navy platoon buddy advised me to meet his 

brother after we returned from deployment. He traded stock options from a variety of 50 of the best 

volume traded companies available at that time. At the end of the next year, I learned to trade commodity 

futures and had the privilege to meet – who is still my teacher, mentor, and friend to this day – Larry 

Williams. Larry’s guidance early on catapulted my trading and learning curve, but most of all 

CONFIDENCE. 

What are the biggest strengths does the developer or strategy team have? My biggest strengths as a trader is 

being able to research my strategies to find trading parameters to accommodate what I learned early on in 

this business, and that is to take ALL TRADES with the trend. I have no problem “pulling the trigger” 

with my exclusive signals because every trade has history and statistics behind it. 

What are the biggest weaknesses? I have recently overcome my biggest w eakness I had as a trader which 

was “skipping” trades based on the recent volatility of the market – far. Most of he time there were no 

trades following high-volatility days, but when there were, I missed some good trades thinking I was 

“doing the right thing” by protecting equity. I’ll divulge how I accomplished this in comments below… 

What was a trading experience where the developer learned valuable lesson about the markets and yourself? 

19 years ago I took my biggest trading loss when I veered away from my trading plan. It should have been 

my biggest trading “win” to that date, but there were two of us trading one account. BIG MISTAKE. 

So I forced myself to do more research on my trading strategy and documented it on paper for reference 

(documenting your work in a journal is powerful some of you already know). When you write your rules 

down you tend to stick to them with better conviction I have reinforced my trading strategies based upon 

this lesson. 

What are the developers and teams trading expertise (Stocks, Futures, Forex, Options, ETF’s, etc.) I have 

been strictly trading commodity futures (and options) for 21 years now. 

How would the developer describe the trading style of your strategy (intraday, swing trading, long-term, trend)? 

The core of my trading style is trend-following, but I do not commit to any position for any longer than I 

have to, so I look to take advantage of the swings of the market as well – swing-trading. Finally, my trading 

style is more mechanically inclined with strict rules and parameters than discretionary in nature. 

TRADING STRATEGY 

CERTIFIED 

Is the system based on technical or fundamentals? My trend following trading strategy utilizes specific entry 

& exit signals based on price structure, market volatility, and trading psychology. Once a trade is placed 

and I am in the market, a protective “stop-loss” is automatically utilized. My trading strategy’s goal is to 

buy the dips and sell the rallies and to remain in the market as long as the market (and my position) is 

trading in the direction of the overall trend. 

What are the benefits of the trading strategy? Why would an investor choose the strategy/style over another? 

The benefits of this trading strategy, and why an investor/trader would choose my style is because if a 

market is trending, then chances are I will be in that market with a position. The only way to make money 

in the marketplace is to be in the market. Even when the market is experiencing high volatility, I have 

restructured my trading strategies to have a maximum dollar stop-loss, as well as target prices for EACH 


Step 2 

4 


TRADE – allowing me to take the maximum number of trades and to be “in the market” with fear, or 

hesitation. I am trading according to the winning statistics I researched long ago. 

How many trades are made on average each per month? For the $25K portfolio of markets: 18-23 For the 

$50K portfolio of markets: 33-38 

What are the average non-compounded returns per year? For the $25K portfolio: 47% and for the $50K 

portfolio: 45% (based on actual fills reported by accommodating brokers and $10 “all in” round-turn 

commission rate). 

What is the average drawdown? For 13 years record (for ALL statistics below), the $25K portfolio: 10-12% 

For the $50K portfolio: 10-12% 

What was the biggest drawdown? For the $25K portfolio: $15,603 from December 2010 – September 

2011. For the $50K portfolio: $29,527 from December 2010 – August 2011. 

What is the stop loss for each trade? It varies with each market and with each individual trade on a daily 

basis, but each market has a maximum dollar stop loss to prevent unforeseable “runaway” trades. 

What is the ratio of winners to losers? 

For the $25K portfolio: 47% accuracy with a 1.5 profit loss ratio 

$50K portfolio. 

which is exactly the same with the 

When does the strategy take profits on each trade? There are three ways, two of which can be objective: 1) 

when the mechanics of the trading strategy stop us out; ) when an “Ultimate Profit Objective” is reached. 

The third method requires on sight market supervision to visually “see” when a market is unable to hold 

its gains (when long), or a weak market making an unexpected come-back higher (when short) which only 

happens few and far between. These are the three ways. 

Does a trader/investor need to watch the market all day in order to trade the strategy? No, not at all. But if 

the trader/investor would like to be notified of any intra-day change in the trading plan, I am happy to 

add to my e-mail distribution list notifying of a change to the plan. 

TRADING ACCOUNT 

CERTIFIED 

What minimum trading account size does the developer recommend to effectively trade the system? There are 

two main trading strategies: the $25K & $50K suggested trading portfolios. This is the minimum 

suggested trading amount for both, and there are also variations of these two portfolios that denote the 

minimum amounts with the exception of the $10K & $15K portfolios – I would suggest $2,500 more 

minimum for these two. 

What are the developer’s thoughts on money management? Money management is the key to a successful 

trading experience with longevity. Money management must come first before all else. This is why each 

trade has specific parameters such as mandatory protective stops, a maximum dollar stop loss, as well as 

an ultimate target objective to anticipate when the markets become unexpectedly volatile. 

What is the maximum percent that the developer recommends exposing to risk on any single trade? As far as 

the maximum percent exposing on any single trade… this strategy is one of the few that is MORE 

conservative than using a straight percent as my peers. The mechanics of the actual trading strategy 


Step 2 5 


require the market (price structure, volatility, and history) to determine where the risk is going to be at 

any given moment of the open trade. 

Is the developer willing to offer a guarantee? Yes, if the customer is not completely satisfied at the end of the 

subscription service-term – for any reason – I will invite the customer to continue trading with me in 

three-month increments until the subscription fee and a minimum 12% profit has been realized 

(excluding commissions). This is why the customer must negotiate with the variety of recommended 

brokers as low a commission rate as possible. I pay $10 per “all in” round-turn fee. For traders 

positioned with $25K accounts sizes or less, expect as low as $12-15 “all in” rates with some of 

recommended brokers. 

COMPETITION 

Which traders/websites are the developer’s main competitors? I only compete with my inner-psyche. I have 

learned others see me as their competition when I was a World Cup Advisor top-trader. 

SUPPORTING DOCUMENTS (Farnsfield may want to utilize or republish for marketing purposes) 

Has the developer or team written any articles or reports that we may review? I have a World Cup Advisor 

website snapshot of my standing with them and their traders dated September 9 th 2009 you are welcome 

to use provided you block out my name and image (World Cup won like it, but they do not respect 

copyright laws anyway). You will see 

stock option program that was added a couple of 

months before this date. Investors needed a $150K minimum sized account in order to realize those 

profits - $35K with mine. 

Is there anything else that the developer would like to add? Before working with Farnsfield, I was a trader 

with a new program at World Cup Advisor. After the end of the first year, my $50K (they were allowing 

customers with $35K) portfolio climbed to the top and surpassed ALL OTHER TRADERS AND THEIR 

PROGRAMS DOLLAR FOR DOLLAR. My unique strategy stayed at the #1 position for the next 3.5 years 

and my only reason for leaving them was promotion of other traders programs when mine was in a 

drawdown phase. Even during these periods, no other trader surpassed my strategy’s cumulative profits. 

THANK YOU! 

Farnsfield appreciates that you took the time in completing this survey. Your input is critical to the success of 

our mutual partnership! We will review your survey and be back in touch in setting up another conversation 

within the next few weeks. 

CERTIFIED 


BASIC Details 

https://www.nfa.futures.org/basicnet/Details.aspx?entityid=UUe8ySPbas... 

1 of 2 2/26/2014 3:08 PM 

Step 3 

News Center Swaps Information Information for DCMs and SEFs NFA Manual File a Complaint Careers at NFA 

Details 

BRIAN RICHARD SCHAD NFA ID: 0269882 

Current Status 

• ALSO SEE NFA ID 0276711 

SCHAD COMMODITY FUTURES & OPTIONS TRADING CORPORATION 

• NFA ASSOCIATE MEMBER PENDING 

• ASSOCIATED PERSON REGISTERED 

• PRINCIPAL APPROVED 

Regulatory Actions 

Agency 

Number 

NFA 0 

CFTC 0 

Exchanges 0 

details... 

NFA Arbitration Decisions 

Role 

Number 

Claimant 0 

Respondent 0 

details... 

CFTC Reparations Cases 

Total 0 

details... 

Formerly Known As 

No other names 

Security Futures Proficiency Training 

No proficiency information available 

Doing Business As 


History 

Status 

• ALSO SEE NFA ID 0276711 

Effective Date 

ATLAS FUTURES INC 

• ASSOCIATED PERSON WITHDRAWN 01/09/1997 

• NFA ASSOCIATE MEMBER WITHDRAWN 01/09/1997 

• ASSOCIATED PERSON REGISTERED 05/06/1996 

• NFA ASSOCIATE MEMBER APPROVED 05/06/1996 

• ASSOCIATED PERSON PENDING 02/27/1996 

• NFA ASSOCIATE MEMBER PENDING 02/27/1996 

OPPORTUNITIES IN OPTIONS 



• ASSOCIATED PERSON REGISTERED 05/06/1996 

• NFA ASSOCIATE MEMBER APPROVED 05/06/1996 

• PRINCIPAL PENDING STATUS WITHDRAWN 03/21/1996 

• ASSOCIATED PERSON PENDING 03/13/1996 

• NFA ASSOCIATE MEMBER PENDING 03/13/1996 

• PRINCIPAL PENDING 02/27/1996 

SCHAD BRIAN RICHARD 

• PRINCIPAL WITHDRAWN 04/04/2003 

• PRINCIPAL APPROVED 01/30/1997 

• PRINCIPAL PENDING 01/21/1997 

SCHAD COMMODITY FUT & OPTS TRDG CORP 



• PRINCIPAL WITHDRAWN 12/22/2000

1 of 1 2/26/2014 3:07 PM 

BASIC Details 

Step 3 

https://www.nfa.futures.org/BasicNet/Details.aspx?entityid=uJ3hUu9eF7s= 

News Center Swaps Information Information for DCMs and SEFs NFA Manual File a Complaint Careers at NFA 

Details 

SCHAD COMMODITY FUTURES & OPTIONS TRADING CORPORATION NFA ID: 0382675 

Current Status 

• NFA MEMBER PENDING 

• COMMODITY TRADING ADVISOR REGISTERED 

Exemptions 

Click the link below to view exemptions for this firm 

View Exemptions 

Regulatory Actions 

Agency 

Number 

NFA 0 

CFTC 0 

Exchanges 0 

details... 

NFA Arbitration Decisions 

Role 

Number 

Claimant 0 

Respondent 0 

details... 

CFTC Reparations Cases 

Total 0 

details... 

Formerly Known As 


Business Address 

Doing Business As 


Listed Principals 

Listed Principal Name 

Title 

10% or More 

Financial Interest 

BRIAN RICHARD SCHAD PRESIDENT YES 

History 

Status 

Effective Date 

• INTRODUCING BROKER PENDING STATUS WITHDRAWN 01/19/2014 

• INTRODUCING BROKER PENDING 04/26/2013 

• NFA MEMBER PENDING 04/26/2013 

• NFA MEMBER WITHDRAWN 02/01/2013 

• NFA MEMBER APPROVED 12/21/2010 


• NFA MEMBER WITHDRAWN 10/05/2008 

• NFA MEMBER APPROVED 10/16/2007 

• COMMODITY TRADING ADVISOR REGISTERED 10/16/2007 


• COMMODITY TRADING ADVISOR PENDING 05/09/2007 

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Step 6 

8 

$15K= KW, SB, CT, SM # Trades Client Profit/Loss %+ Av + Av- Profit Factor % Gain or Loss Avrg Yearly ROR + - Ttl + or - (no comm) Ttl + Ttl + less Comm Ttl - Ttl - less Comm 

$ 15,000.00 

1207 $ 99,740.98 49% $ 536.95 $ (345.23) 1.56 665% 67% 594 600 $ 111,810.98 $ 318,950.28 $ 313,010.28 $ (207,139.30) $ (213,139.30) 

$20K= KW, SB, CT, SM, C # Trades Client Profit/Loss %+ Av + Av- Profit Factor % Gain or Loss Avrg Yearly ROR + - Ttl + or - (no comm) Ttl + Ttl + less Comm Ttl - Ttl - less Comm 

$ 20,000.00 

1517 $ 128,484.73 50% $ 514.59 $ (329.31) 1.56 642% 65% 754 742 $ 143,654.73 $ 388,000.28 $ 380,460.28 $ (244,345.55) $ (251,765.55) 

$25K= KW, SB, CT, SM, C, W, YG # Trades Client Profit/Loss %+ Av + Av- Profit Factor % Gain or Loss Avrg Yearly ROR + - Ttl + or - (no comm) Ttl + Ttl + less Comm Ttl - Ttl - less Comm 

$ 25,000.00 

2110 $ 133,113.25 45% $ 513.33 $ (337.46) 1.52 532% 54% 945 985 $ 152,693.25 $ 485,094.01 $ 475,644.01 $ (332,400.76) $ (342,250.76) 

Years Contract # Trades Client Profit/Loss %+ Av + Av- Profit Factor % Gain or Loss Avrg Yearly ROR + - Ttl + or - (no comm) Ttl + Ttl + less Comm Ttl - Ttl - less Comm 

Commission Rate $ 10.00 

2005 + W 194 $ (8,922.50) 43% $ 490 $ (463) 1.058 83 107 $ (6,982.50) $ 41,505.00 $ 40,675.00 $ (48,487.50) $ (49,557.50) 

2001-2004 W 125 $ 5,475.00 40% $ 513 $ (276) 1.859 50 73 $ 6,725.00 $ 26,125.00 $ 25,625.00 $ (19,400.00) $ (20,130.00) 

Totals 319 $ (3,447.50) 42% $ 498 $ (387) 1.288 133 1 $ (257.50) $ 67,630.00 $ 66,300.00 $ (67,887.50) $ (69,687.50) 

2005 + C 195 $ 23,381.25 54% $ 504 $ (347) 1.452 05 85 $ 25,331.25 $ 54,012.50 $ 52,962.50 $ (28,681.25) $ (29,531.25) 

2001-2004 C 115 $ 5,362.50 48% $ 263 $ (160) 1.651 5 57 $ 6,512.50 $ 15,037.50 $ 14,487.50 $ (8,525.00) $ (9,095.00) 

Totals 310 $ 28,743.75 52% $ 422 $ (272) 1.550 160 142 $ 31,843.75 $ 69,050.00 $ 67,450.00 $ (37,206.25) $ (38,626.25) 

2005 + KC 83 $ (2,855.00) 42% $ 1,181 $ (940) 1.256 35 47 $ (2,025.00) $ 41,681.25 $ 41,331.25 $ (43,706.25) $ (44,176.25) 

2001-2004 KC 146 $ 19,348.50 53% $ 740 $ (561) 1.319 77 67 $ 20,808.50 $ 57,714.75 $ 56,944.75 $ (36,906.25) $ (37,576.25) 

Totals 229 $ 16,493.50 49% $ 877 $ (717) 1.224 112 114 $ 18,783.50 $ 99,396.00 $ 98,276.00 $ (80,612.50) $ (81,752.50) 

2005 + LC 212 $ 332.00 47% $ 409 $ (372) 1.100 100 109 $ 2,452.00 $ 41,904.00 $ 40,904.00 $ (39,452.00) $ (40,542.00) 

2001-2004 LC 133 $ 16,297.00 48% $ 587 $ (313) 1.8 64 68 $ 17,627.00 $ 38,200.00 $ 37,560.00 $ (20,573.00) $ (21,253.00) 

Totals 345 $ 16,629.00 48% $ 478 $ (349) 1.370 164 177 $ 20,079.00 $ 80,104.00 $ 78,464.00 $ (60,025.00) $ (61,795.00) 

2005 + CC 114 $ (8,340.00) 39% $ 373 $ (370) 1.010 45 68 $ (7,200.00) $ 17,250.00 $ 16,800.00 $ (24,450.00) $ (25,130.00) 

2001-2004 CC 131 $ (1,123.00) 46% $ 441 $ (389) 135 60 71 $ 187.00 $ 27,087.00 $ 26,487.00 $ (26,900.00) $ (27,610.00) 

Totals 245 $ (9,463.00) 43% $ 412 $ ( 9) 1.0 105 139 $ (7,013.00) $ 44,337.00 $ 43,287.00 $ (51,350.00) $ (52,740.00) 

2005 + BO 161 $ 2,320.00 48% $ 376 $ (31 ) 1.186 77 84 $ 3,930.00 $ 29,754.00 $ 28,984.00 $ (25,824.00) $ (26,664.00) 

2001-2004 BO 119 $ 1,346.00 45% $ 278 ( 3) 1.303 54 64 $ 2,536.00 $ 15,552.00 $ 15,012.00 $ (13,016.00) $ (13,656.00) 

Totals 280 $ 3,666.00 47% $ 336 $ (272) 1.233 131 148 $ 6,466.00 $ 45,306.00 $ 43,996.00 $ (38,840.00) $ (40,320.00) 

2005 + GC 41 $ 5,903.33 56% $ 568 $ (3 ) 1.427 23 18 $ 6,313.33 $ 13,303.33 $ 13,073.33 $ (6,990.00) $ (7,170.00) 

2001-2004 GC 111 $ 9,890.00 53% 2 $ (318) 1.360 59 49 $ 11,000.00 $ 26,070.00 $ 25,480.00 $ (15,070.00) $ (15,560.00) 

2005 + YG 122 $ 8,076.02 48% $ 498 $ (330) 1.509 58 63 $ 9,296.02 $ 29,463.73 $ 28,883.73 $ (20,167.71) $ (20,797.71) 

Totals Total Gold 274 $ 23,869.3 51% $ 82 (335) 1.439 140 130 $ 26,609.35 $ 68,837.06 $ 67,437.06 $ (42,227.71) $ (43,527.71) 

CERTIFIED 

2005 + SI 46 $ 6,07 00 52% $ 883 $ (719) 1.228 24 21 $ 6,539.00 $ 21,429.00 $ 21,189.00 $ (14,890.00) $ (15,100.00) 

2001-2004 SI 111 $ 5,965 0 42% $ 580 $ (343) 1.690 47 62 $ 7,075.00 $ 27,750.00 $ 27,280.00 $ (20,675.00) $ (21,295.00) 

2005 + YI 2 $ 1,668.0 50% $ 1,705 $ (37) 46.081 1 1 $ 1,688.00 $ 1,715.00 $ 1,705.00 $ (27.00) $ (37.00) 

Totals Total Silver 159 $ 13,712.00 4 $ 697 $ (434) 1.607 72 84 $ 15,302.00 $ 50,894.00 $ 50,174.00 $ (35,592.00) $ (36,432.00) 

2005 + CT 154 $ 11,386.06 50% $ 634 $ (486) 1.304 77 77 $ 12,926.06 $ 49,576.56 $ 48,806.56 $ (36,650.50) $ (37,420.50) 

2001-2004 CT 122 $ 26,320.00 51% $ 873 $ (487) 1.792 62 57 $ 27,540.00 $ 54,740.00 $ 54,120.00 $ (27,200.00) $ (27,770.00) 

Totals 276 $ 37,706.06 50% $ 740 $ (486) 1.522 139 134 $ 40,466.06 $ 104,316.56 $ 102,926.56 $ (63,850.50) $ (65,190.50) 

2005 + KW 189 $ 7,160.00 49% $ 517 $ (430) 1.204 92 94 $ 9,050.00 $ 48,500.00 $ 47,580.00 $ (39,450.00) $ (40,390.00) 

2001-2004 KW 147 $ 12,230.00 46% $ 449 $ (226) 1.987 67 79 $ 13,700.00 $ 30,775.00 $ 30,105.00 $ (17,075.00) $ (17,865.00) 

Totals 336 $ 19,390.00 47% $ 489 $ (337) 1.451 159 173 $ 22,750.00 $ 79,275.00 $ 77,685.00 $ (56,525.00) $ (58,255.00) 

2005 + LH 219 $ 8,950.00 48% $ 494 $ (388) 1.275 106 112 $ 11,140.00 $ 53,468.00 $ 52,408.00 $ (42,328.00) $ (43,448.00) 

2001-2004 LH 162 $ 8,584.00 48% $ 504 $ (373) 1.352 77 81 $ 10,204.00 $ 39,612.00 $ 38,842.00 $ (29,408.00) $ (30,218.00) 

Totals 381 $ 17,534.00 48% $ 499 $ (382) 1.306 183 193 $ 21,344.00 $ 93,080.00 $ 91,250.00 $ (71,736.00) $ (73,666.00)

Step 6 9 

2005 + S 170 $ 25,887.50 52% $ 832 $ (584) 1.424 88 81 $ 27,587.50 $ 74,112.50 $ 73,232.50 $ (46,525.00) $ (47,335.00) 

2001-2004 S 134 $ 4,180.00 50% $ 607 $ (553) 1.098 67 66 $ 5,520.00 $ 41,362.50 $ 40,692.50 $ (35,842.50) $ (36,502.50) 

2005 + YS 145 $ (2,227.00) 43% $ 385 $ (318) 1.210 62 82 $ (777.00) $ 24,499.00 $ 23,879.00 $ (25,276.00) $ (26,096.00) 

Totals 449 $ 27,840.50 48% $ 635 $ (480) 1.323 217 229 $ 32,330.50 $ 139,974.00 $ 137,804.00 $ (107,643.50) $ (109,933.50) 

2005 + HG 67 $ 35,042.50 51% $ 1,746 $ (737) 2.369 34 33 $ 35,712.50 $ 59,712.50 $ 59,372.50 $ (24,000.00) $ (24,330.00) 

2001-2004 HG 123 $ 9,677.50 58% $ 363 $ (328) 1.106 71 49 $ 10,907.50 $ 26,512.50 $ 25,802.50 $ (15,605.00) $ (16,095.00) 

Totals 190 $ 44,720.00 55% $ 811 $ (493) 1.645 105 82 $ 46,620.00 $ 86,225.00 $ 85,175.00 $ (39,605.00) $ (40,425.00) 

2005 + SM 157 $ 7,972.00 54% $ 423 $ (405) 1.044 85 69 $ 9,542.00 $ 36,825.00 $ 35,975.00 $ (27,283.00) $ (27,973.00) 

2001-2004 SM 126 $ 11,270.00 49% $ 490 $ (304) 1.615 62 3 $ 12,530.00 $ 31,030.00 $ 30,410.00 $ (18,500.00) $ (19,130.00) 

Totals 283 $ 19,242.00 52% $ 452 $ (357) 1.266 147 1 2 $ 22,072.00 $ 67,855.00 $ 66,385.00 $ (45,783.00) $ (47,103.00) 

2005 + QM 21 $ (5,897.50) 43% $ 934 $ (1,192) 0.784 9 12 $ (5,687.50) $ 8,500.00 $ 8,410.00 $ (14,187.50) $ (14,307.50) 

2001-2004 QM 0 $ - 

0 $ - $ - $ - $ - $ - 

Totals 21 $ (5,897.50) 43% $ 934 $ (1,192) 0.784 9 12 $ (5,687.50) $ 8,500.00 $ 8,410.00 $ (14,187.50) $ (14,307.50) 

2005 + SB 196 $ 21,324.80 51% $ 546 $ (351) 1.559 100 95 $ 23,284.80 $ 55,641.60 $ 54,641.60 $ (32,356.80) $ (33,306.80) 

2001-2004 SB 116 $ 2,078.12 42% $ 232 $ (141) 1.650 49 66 $ 3,238.12 $ 11,862.12 $ 11,372.12 $ (8,624.00) $ (9,284.00) 

Totals 312 $ 23,402.92 48% $ 443 $ (265) 1.675 149 161 $ 26,522.92 $ 67,503.72 $ 66,013.72 $ (40,980.80) $ (42,590.80) 

2001-2004 TY 1 $ 849.38 100% $ 849 

1 0 $ 859.38 $ 859.38 $ 849.38 $ - $ - 

2001-2004 NG 1 $ 1,040.00 100% $ 1,040 

1 0 $ 1,050.00 $ 1,050.00 $ 1,040.00 $ - $ - 

2001-2004 HU 4 $ 3,572.00 75% $ 1,628 $ (1,312 1.241 3 1 $ 3,612.00 $ 4,914.00 $ 4,884.00 $ (1,302.00) $ (1,312.00) 

Totals 2001 - 2010 4415 $ 279,602.46 

2130 2231 $ 323,752.46 $ 1,179,106.72 

$ (855,354.26) 

2001 - Present Stats 4,416 $ 279,592.46 

2,130 2,231 $ 1,179,106.72 

$ (855,354.26) 

Difference (1) $ 10.00 

0 0 $ - 

$ - 

Totals 2001-2004 1927 $ 142,362.00 

926 973 $ 161,632.00 $ 476,253.75 

$ (314,621.75) 

from sheet 1,928 $ 142,352.00 

926 973 $ 476,253.75 

$ (314,621.75) 

(1) $ 10.00 

0 0 $ - 

$ - 

Totals 2005 + 2,488 $ 137,240.46 

1,204 1,258 $ 162,120.46 $ 702,852.97 

$ (540,732.51) 

from sheet 2,488 $ 137,240.46 

1,204 1,258 $ 702,852.97 

$ (540,732.51) 

0 $ - 

0 0 $ - 

$ - 

CERTIFIED 

4,415 $ 279,60 46 

2,130 2,231 $ 323,752.46 $ 1,179,106.72 

$ (855,354.26) 

PAST PERFORMANCE IS NOT INDICATIVE OF FUTURE RESULTS. NO REPRESENTATION IS BEING MADE THAT ANY ACCOUNT WILL, OR IS LIKELY TO, ACHIEVE PROFITS, OR LOSSES SIMILAR TO THOSE SHOWN. THERE IS A RISK OF LOSS IN ALL TRADING. 

"HYPOTHETICAL PERFORMANCE RESULTS HAVE MANY INHERENT LIMITATIONS, SOME OF WHICH ARE DESCRIBED BELOW. NO REPRESENTATION IS BEING MADE THAT ANY ACCOUNT WILL OR IS LIKELY TO ACHIEVE PROFITS OR LOSSES SIMILAR TO THOSE SHOWN. IN FACT, THERE ARE FREQUENTLY SHARP 

DIFFERENCES BETWEEN HYPOTHETICAL PERFORMANCE RESULTS AND THE ACTUAL RESULTS ACHIEVED BY ANY PARTICULAR TRADING PROGRAM. ONE OF THE LIMITATIONS OF HYPOTHETICAL PERFORMANCE RESULTS IS THAT THEY ARE GENERALLY PREPARED WITH THE BENEFIT OF HINDSIGHT. IN 

ADDITION, HYPOTHETICAL TRADING DOES NOT INVOLVE FINANCIAL RISK, AND NO HYPOTHETICAL TRADING RECORD CAN COMPLETELY ACCOUNT FOR THE IMPACT OF FINANCIAL RISK IN ACTUAL TRADING. FOR EXAMPLE, THE ABILITY TO WITHSTAND LOSSES OR TO ADHERE TO A PARTICULAR TRADING 

PROGRAM IN SPITE OF TRADING LOSSES ARE MATERIAL POINTS WHICH CAN ALSO ADVERSELY AFFECT ACTUAL TRADING RESULTS. THERE ARE NUMEROUS OTHER FACTORS RELATED TO THE MARKETS IN GENERAL OR TO THE IMPLEMENTATION OF ANY SPECIFIC TRADING PROGRAM WHICH CANNOT BE 

FULLY ACCOUNTED FOR IN THE PREPARATION OF HYPOTHETICAL PERFORMANCE RESULTS AND ALL OF WHICH CAN ADVERSELY AFFECT ACTUAL TRADING RESULTS."

CERTIFIED

CERTIFIED

CERTIFIED

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13 

ACCOUNT NUMBER 

DATE DEC 31, 2010 

* * * * * * * * * * * * * * Y O U R A C T I V I T Y T H I S M O N T H * * * * * * * * * * * * * * * * * * * * 

DATE AT LONG/BUY SHRT/SELL DESCRIPTION PRICE/LEGND CC DEBIT CREDIT 

12/01/0 F1 1 1 MAR 11 CBOT CORN 01 5.54 /4 US .00 

GLOBEX TRADE 

12/01/0 F1 1 MAR 11 CBOT CORN 01 5.54 3/4 US 8.42 

GLOBEX TRADE 

12/01/0 F1 RESIDUAL ON 0001-JAN 11 CBT BE US 1.17 

12/01/0 F1 1 JAN 11 CBT BEAN MEAL 01 34 90 US 8.42 

GLOBEX TRADE 

APS TRADE 

12/02/0 F1 1 MAR 11 ICEUS SUGAR11 0 28.61 US 9.36 

ICE PLATFORM 

12/02/0 F1 RESIDUAL ON 0001-MAR 1 KC WHE US 5.88 

12/02/0 F1 1 1 MAR 11 KC WHEAT 08 8.12 US 3,062.50 

GLOBEX TRADE 

APS TRADE 

12/02/0 F1 1 MAR 11 KC WHEAT 08 8.12 US 8.41 

GLOBEX TRADE 

APS TRADE 

12/03/0 F1 1 MAR 11 BOT CO N 01 5.67 US 8.42 

GLOBEX TRADE 

12/03/0 F1 1 1 MAR 1 ICEUS SUGAR11 06 29.50 US 996.80 

ICE PLA FORM 

12/03/0 F1 1 MAR 11 ICEU SUGAR11 06 29.50 US 9.36 

ICE PLATFORM 


12/06/0 F1 1 1 AN 11 CBT BEAN MEAL 01 352.10 US 820.00 

GLOBEX TRADE 

APS TRADE 

12/06/0 F1 1 JAN 11 CBT BEAN MEAL 01 352.10 US 8.42 

GLOBEX TRADE 

APS TRADE 

12/07/0 F1 1 1 MAR 11 CBOT CORN 01 5.57 1/2 US 475.00 

GLOBEX TRADE 


GLOBEX TRADE 

12/10/0 F1 RESIDUAL ON 0001-MAR 11 CBOT W US 7.29 

12/10/0 F1 1 1 MAR 11 CBOT WHEAT 01 7.80 US 687.50 

GLOBEX TRADE 

12/10/0 F1 1 1 MAR 11 CBOT WHEAT 01 7.80 US 16.84 

GLOBEX TRADE 



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Step 7 14 


DATE DEC 31, 2010 

PAGE 2 


12/10/0 F1 1 1 MAR 11 KC WHEAT 08 8.31 1/4 US 375.00 

GLOBEX TRADE 

APS TRADE 


GLOBEX TRADE 

APS TRADE 

12/13/0 F1 RESIDUAL ON 0001-MAR 11 CBOT C US 10.15 

12/13/0 F1 1 MAR 11 CBOT CORN 01 5.8 /2 US 8.42 

GLOBEX TRADE 

APS TRADE 

12/13/0 F1 RESIDUAL ON 0001-JAN 11 BT BE US 5.78 


GLOBEX TRADE 

APS TRADE 

12/14/0 F1 RESIDUAL ON 0001-MAR 11 CBOT W US 1.04 

12/14/0 F1 RESIDUAL ON 0001- AR 11 CBOT W US 1.04 

12/14/0 F1 1 1 MAR 11 CBOT WHEAT 01 7.70 3/4 US 250.00 

GLOBEX TRADE 

APS TRADE 

12/14/0 F1 1 1 MAR 1 CBOT WHEAT 01 7.75 3/4 US 16.84 

GLOBEX TR DE 

APS TRA E 

12/14/0 F1 RESIDUAL N 0001-MAR 11 KC WHE US 3.29 


GLOBEX TRADE 

APS TRADE 


GLOBEX TRADE 

APS TRADE 

12/15/0 F1 1 1 MAR 11 CBOT CORN 01 5.81 3/4 US 137.50 

GLOBEX TRADE 


GLOBEX TRADE 


12/15/0 F1 1 1 JAN 11 CBT BEAN MEAL 01 341.40 US 120.00 

GLOBEX TRADE 

APS TRADE 


GLOBEX TRADE 

APS TRADE 

12/15/0 F1 RESIDUAL ON 0001-MAR 11 CBT BE US 5.26 

12/15/0 F1 1 MAR 11 CBT BEAN MEAL 01 344.50 US 8.42 

GLOBEX TRADE 

APS TRADE 

12/15/0 F1 1 MAR 11 ICEUS SUGAR11 06 31.03789470 US 8.11 

APS TRADE 

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DATE DEC 31, 2010 

PAGE 3 


12/16/0 F1 1 1 MAR 11 ICEUS SUGAR11 06 31.10 US 69.56 

ICE PLATFORM 

12/16/0 F1 1 MAR 11 ICEUS SUGAR11 06 31 10 US 9.36 

ICE PLATFORM 

12/16/0 F1 RESIDUAL ON 0001-MAR 11 KC WHE 3.29 


12/16/0 F1 1 1 MAR 11 KC WHEAT 08 8 02 3/ US 425.00 

GLOBEX TRADE 

APS TRADE 


GLOBEX TRADE 

APS TRADE 

12/17/0 F1 RESIDUAL ON 0001-MAR 11 CBT BE US 8.42 

12/17/0 F1 1 1 MAR 11 CBT BEAN MEAL 01 350.30 US 580.00 

GLOBEX TRADE 

APS TRADE 

12/17/0 F1 1 MAR 11 CBT BEAN MEAL 01 350.30 US 8.42 

GLOBEX TRADE 

APS TRADE 

12/27/0 F1 CK375 16 BRIAN SCHAD ( CHK ISS US 1,141.67 

CHECK ISSUED 

**USD-SEG 1.25 F1)** ** CONVERTED TOTAL * 

BEGINNING BALANCE 50,825.28 50,825.28 

THIS MONTH'S ACTIVITY 25.28- 825.28- 

ENDING BALANCE 50 000.00 50,000.00 

CERTIFIED 

ACCOUNT VALUE AT MARKET 50,000.00 50,000.00 

CONVERTED MARKET VALUE 50,000.00 50,000.00 

TOTAL COMMISSIONS 169.00- 169.00- 

TOTAL CLEARING FEES 1.60- 1.60- 

TOTAL EXCHANGE FEES 44.90- 44.90- 

TOTAL REGULATORY FEES .26- .26- 

TOTAL OTHER FEES 6.60- 6.60- 

*** CURRENT MONTH *** *** YEAR-TO-DATE *** 

FUTURES PROFIT/LOSS US 316.39 26,141.67

AG Commodities & Precious Metals Due Diligence Report

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