PTO Form 1957 (Rev 9/2005)
`
`OMB No. 0651-0050 (Exp. 07/31/2017)
`
`Response to Office Action
`
`Input Field
`
`SERIAL NUMBER
`
`LAW OFFICE ASSIGNED
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`MARK SECTION
`
`MARK
`
`LITERAL ELEMENT
`
`STANDARD CHARACTERS
`
`USPTO-GENERATED IMAGE
`
`MARK STATEMENT
`
`EVIDENCE SECTION
`
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)EVIDENCE FILE NAME(S)
`
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)ORIGINAL PDF FILE
`
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)CONVERTED PDF FILE(S)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(8 pages)
`
`The table below presents the data as entered.
`
`Entered
`
`86375674
`
`LAW OFFICE 106
`
`http://tsdr.uspto.gov/img/86375674/large
`
`FACTOR BASED ALPHA
`
`YES
`
`YES
`
`The mark consists of standard characters, without claim to any particular font style, size or
`color.
`
`evi_701095314-20150617102125911039_._FACTOR_BASED_ALPHA_2e_response.pdf
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0002.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0003.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0004.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0005.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0006.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0007.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0008.JPG
`
`\\TICRS\EXPORT16\IMAGEOUT16\863\756\86375674\xml4\ROA0009.JPG
`
`NEW ATTORNEY SECTION
`
`NAME
`
`FIRM NAME
`
`STREET
`
`CITY
`
`STATE
`
`ZIP/POSTAL CODE
`
`COUNTRY
`
`PHONE
`
`EMAIL
`
`THOMAS DUNLAP
`
`DUNLAP, BENNET & LUDWIG PLLC
`
`211 Church Street Se
`
`Leesburg
`
`Virginia
`
`20175
`
`United States
`
`703.777.7319
`
`ip@dbllawyers.com
`
`AUTHORIZED EMAIL COMMUNICATION
`
`Yes
`
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`

`

`CORRESPONDENCE SECTION
`
`ORIGINAL ADDRESS
`
`NEW CORRESPONDENCE SECTION
`
`NAME
`
`FIRM NAME
`
`STREET
`
`CITY
`
`STATE
`
`ZIP/POSTAL CODE
`
`COUNTRY
`
`PHONE
`
`EMAIL
`
`DISCIPLINED WEALTH STRATEGIES
`14 MANCHESTER DR
`WRENTHAM
`Massachusetts (MA)
`US
`02093-2505
`
`THOMAS DUNLAP
`
`DUNLAP, BENNET & LUDWIG PLLC
`
`211 Church Street SE
`
`Leesburg
`
`Virginia
`
`20175
`
`United States
`
`703.777.7319
`
`ip@dbllawyers.com;ip@dbllawyers.com
`
`AUTHORIZED EMAIL COMMUNICATION
`
`Yes
`
`SIGNATURE SECTION
`
`RESPONSE SIGNATURE
`
`SIGNATORY'S NAME
`
`SIGNATORY'S POSITION
`
`SIGNATORY'S PHONE NUMBER
`
`DATE SIGNED
`
`AUTHORIZED SIGNATORY
`
`FILING INFORMATION SECTION
`
`SUBMIT DATE
`
`TEAS STAMP
`
`/khardley/
`
`KEISHA HARDLEY
`
`Associate Attorney, Dunlap, Bennett & Ludwig PLLC (MD Bar)
`
`703.777.7319
`
`06/17/2015
`
`YES
`
`Wed Jun 17 10:28:48 EDT 2015
`
`USPTO/ROA-XX.XXX.XX.XX-20
`150617102848457263-863756
`74-530b2ee96e8da8b37b9634
`035ebf2b7134d7d60df9f6872
`c8a4cf6d36c5dd3995-N/A-N/
`A-20150617102125911039
`
`PTO Form 1957 (Rev 9/2005)
`
`OMB No. 0651-0050 (Exp. 07/31/2017)
`
`To the Commissioner for Trademarks:
`
`Response to Office Action
`
`Application serial no. 86375674(cid:160)FACTOR BASED ALPHA(Standard Characters, see http://tsdr.uspto.gov/img/86375674/large) has been
`amended as follows:
`
`

`

`EVIDENCE
`
`Original PDF file:
`evi_701095314-20150617102125911039_._FACTOR_BASED_ALPHA_2e_response.pdf
`Converted PDF file(s) ( 8 pages)
`Evidence-1
`Evidence-2
`Evidence-3
`Evidence-4
`Evidence-5
`Evidence-6
`Evidence-7
`Evidence-8
`
`ATTORNEY ADDRESS
`Applicant proposes to amend the following:
`Proposed:
`THOMAS DUNLAP of DUNLAP, BENNET & LUDWIG PLLC, having an address of
`211 Church Street Se Leesburg, Virginia 20175
`United States
`ip@dbllawyers.com
`703.777.7319
`
`CORRESPONDENCE ADDRESS CHANGE
`Applicant proposes to amend the following:
`Current:
`DISCIPLINED WEALTH STRATEGIES
`14 MANCHESTER DR
`WRENTHAM
`Massachusetts (MA)
`US
`02093-2505
`
`Proposed:
`THOMAS DUNLAP of DUNLAP, BENNET & LUDWIG PLLC, having an address of
`211 Church Street SE Leesburg, Virginia 20175
`United States
`ip@dbllawyers.com;ip@dbllawyers.com
`703.777.7319
`
`SIGNATURE(S)
`Response Signature
`Signature: /khardley/(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)Date: 06/17/2015
`Signatory's Name: KEISHA HARDLEY
`Signatory's Position: Associate Attorney, Dunlap, Bennett & Ludwig PLLC (MD Bar)
`
`Signatory's Phone Number: 703.777.7319
`
`The signatory has confirmed that he/she is an attorney who is a member in good standing of the bar of the highest court of a U.S. state, which
`includes the District of Columbia, Puerto Rico, and other federal territories and possessions; and he/she is currently the applicant's attorney or an
`associate thereof; and to the best of his/her knowledge, if prior to his/her appointment another U.S. attorney or a Canadian attorney/agent not
`currently associated with his/her company/firm previously represented the applicant in this matter: (1) the applicant has filed or is concurrently
`filing a signed revocation of or substitute power of attorney with the USPTO; (2) the USPTO has granted the request of the prior representative to
`withdraw; (3) the applicant has filed a power of attorney appointing him/her in this matter; or (4) the applicant's appointed U.S. attorney or
`Canadian attorney/agent has filed a power of attorney appointing him/her as an associate attorney in this matter.
`
`Mailing Address: (cid:160)(cid:160)(cid:160)THOMAS DUNLAP
`(cid:160)(cid:160)(cid:160)DUNLAP, BENNET & LUDWIG PLLC
`
`

`

`(cid:160)(cid:160)(cid:160)211 Church Street SE
`(cid:160)(cid:160)(cid:160)Leesburg, Virginia 20175
`
`Serial Number: 86375674
`Internet Transmission Date: Wed Jun 17 10:28:48 EDT 2015
`TEAS Stamp: USPTO/ROA-XX.XXX.XX.XX-20150617102848457
`263-86375674-530b2ee96e8da8b37b9634035eb
`f2b7134d7d60df9f6872c8a4cf6d36c5dd3995-N
`/A-N/A-20150617102125911039
`
`(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)(cid:160)
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Serial No.:
`
`Filed:
`
`Disciplined Wealth Strategies
`86375674
`
`December 17, 2014
`
`Trademark Atty: Martha L. From
`TradeMark:
`FACTOR BASED ALPHA
`
`RESPONSE TO DECEMBER 17, 2014 OFFICE ACTION
`
`This Response is filed in reply to the Office Action e-mailed on December 17, 2014.
`
`The Applicant respectfully submits the following response. Applicant submits that the above-
`
`identified trademark application for FACTOR BASED ALPHA is in condition for allowance
`
`to publication.
`
`ADDITONAL INFORMATION REQUEST
`
`Jensen’s Alpha,
`
`is a measurable way to determine how much of an investment
`
`manager’s return is attributable to the skill of the portfolio manager rather
`
`than the
`
`general market conditions. Alpha can be positive or negative. Positive alpha is the desired
`
`result/outcome of the approach used, it is not involved in the investment process or services
`
`offered. FACTOR BASED ALPHA analyzes over 300 methods when managing portfolios and
`
`attempts to deliver positive alpha in client’s investment results. Thus, alpha is a result and not
`
`an element in the analysis.
`
`

`

`POTENTIAL SECTION 2(e)(1) REFUSAL — MARK IS MERELY DESCRIPTIVE
`
`Applicant submits a preliminary response to the potential section 2(e)(l) refusal;
`
`however, Applicant reserves all rights to provide a detailed and more descriptive response if
`
`Examining Attorney Martha L. From raises a Section 2(e)(l) refusal in a subsequent Office
`
`Action.
`
`APPLICANT’S MARK IS AT MOST SUGGESTIVE
`
`Applicant respectfully submits that the mark FACTOR BASED ALPHA for investment
`
`management is at most suggestive and is not merely descriptive of Applicant’s goods. It is
`
`therefore deserving of registration on the Principal Register.
`
`A mark is merely descriptive only if it “immediately describes” the Applicant’s goods
`
`or services. In re Econoheat Inc. 218 U.S. P. Q. 381, 383 (TTAB 1983)(emphasis in original).
`
`For a term to be classified as “merely descriptive,” the name must “immediately tell a potential
`
`customer what to expect in sum total of these concepts.” Holiday Inns, Inc. v. Monolith Enter.,
`
`21 U.S. P.Q. 949, 952 (TTAB 1981). If the term used as a mark provides vague or indirect
`
`information about the goods or services, then the term is used in a “suggestive” manner. See J.
`
`McCarthy, McCarthy on Trademarks and Unfair Competition §ll.l9, at 11-26 (4th ed. 2015).
`
`To be deemed merely descriptive, a mark must directly provide the consumer with reasonably
`
`accurate knowledge of the characteristics of the product or service ir1 connection with which it
`
`is used. If the information about the product or service is indirect or vague, then the mark is
`
`considered suggestive, not descriptive. E. See also Glamorene Products Corp. V. Boyle-
`
`

`

`Midway, Inc., 188 U.S.P.Q. 145 (S.D.N.Y. 1975) (finding that the mark SPRAY ‘N VAC is
`
`not merely descriptive of a no scrub rug cleaner and stating “a mark is not merely descriptive
`
`unless descriptiveness is its principle significance. A mark is not descriptive if it merely
`
`suggests the nature or class of the product on which it is used”.)
`
`Applicant’s mark does not immediately and directly describe the services provided
`
`under the mark,
`
`thus, Applicant submits that
`
`its mark is “suggestive” and capable of
`
`registration on the Principal Register. Applicant’s mark does not immediately or directly tell
`
`the consumer what to expect. See TMEP § l209.0l(a) (“a descriptive term... immediately tells
`
`something about the goods or services“). In this case, while Applicant’s mark FACTOR
`
`BASED ALPHA may be suggestive in that only those well versed in investment terms may
`
`identify the relevance of “ALPHA,” however, it is not merely descriptive. The term ALPHA
`
`has varying definitions that can refer to a varying degree of goods and or services. The word
`
`ALPHA represents the first letter of the Greek Alphabet,
`
`is frequently used in chemistry
`
`representing two or more isomeric compounds, or can mean an assertive person in a group of
`
`people (see Exhibit A).
`
`In addition to the general definitions for ALPHA, the investment industry has varying
`
`definitions of ALPHA as well. Only one definition is cited by the Examining Attorney,
`
`however, there are multiple definitions each having a different impact within the investment
`
`industry (see Exhibit B). Within the investment industry ALPHA can represent a mathematical
`
`estimate, a measure of performance or the difference between an investment return and
`
`benchmark return (see Exhibit B). As a result of the varying general definitions of ALPHA as
`
`

`

`well as investment industry definitions of ALPHA, the term is ambiguous and it is not
`
`immediately conveyed to the consumer the precise nature of the services or what is being
`
`offered by Applicant. The term ALPHA does not tell consumers that the services are for
`
`investment consulting. Applicant's mark is in fact suggestive because “imagination, thought, or
`
`perception is required to reach a conclusion on the nature of the goods or services.“ In re Quik-
`
`Print Shops, Inc. 616 F.2d 523, 525, 205 U.S.P.Q. 505, 507 (C.C.P.A. 1980)
`
`Moreover, the examining attorney ir1 this case has only placed emphasis on use of the
`
`Word ALPHA. The examining attorney does not allege that the mark as a Whole is descriptive.
`
`There is neither evidence nor arguments presented against registration of FACTOR BASED.
`
`The lack of evidence and arguments against FACTOR BASED indicates that a disclaimer
`
`should be required rather than a total refusal. An unregistrable component of a composite mark
`
`is subject to disclaimer. See TMEP §§l2l3.05—l2l3.05(g)(iv). Thus, even if the examining
`
`attorney determines ALPHA is not permitted to be registered it should be disclaimed rather
`
`than refusing to register the entire mark.
`
`EXISTING REGISTERED MARKS INCORPORATING USAGE OF “ALPHA”
`
`There are a number of registered marks incorporating the term ALPHA for investment
`
`management and similar financial services. Examples of registered and pending registration
`
`marks incorporating the term ALPHA include:
`
`Registration No. 4337984 ALPHA CUBED INVESTMENTS for investment management.
`
`Registration No. 4048310 AR ALPHA RUSH INVESTMENT MANAGEMENT for
`investment management services
`
`

`

`Registration No. 3992329 ALL ABOUT ALPHA.com for Providing a web site featuring
`financial information in the nature of financial analysis, research and opinion about securities
`and investments; providing a web site featuring news reporting services in the field of
`financial news. In addition to electronic publishing services, namely, providing a website
`featuring non-downloadable publications in the nature of articles and newsletters in the fields
`of securities and investments which provides the user with information, analysis, research,
`opinion and news
`
`services, namely,
`financial
`Registration No. 3599257 PIMCO DOUBLE ALPHA for
`investment management, investment advice, funds investment, investment consultation and
`investment of funds for others.
`
`Registration No. 4396723 ALPHA CAPITAL MANAGEMENT for financial consulting,
`financial exchange, financial forecasting, financial planning, financial portfolio management,
`financial services in the nature of an investment security;
`financial services, namely,
`investment fund transfer and transaction services; financial trust operations, brokerage of
`shares or stocks and other securities; financial and investment services, namely, management
`and brokerage in the fields of stocks, bonds, options and other securities and the investment of
`filnds for others; financial services, namely, assisting others with the completion of financial
`transactions for stocks, bonds, options, securities and equities; providing stock market
`information, stock brokerage, stock exchange price quotations, fiduciary representatives, trust
`services, namely, investment and trust company services.
`
`Registration No. 3826612 WEALTH MANAGEMENT ALPHA for Strategic wealth advisory
`services, namely, providing fiscal management planning for individuals.
`
`Registration No. 3756995 SYSTEMATIC ALPHA MANAGEMENT, LLC for Financial
`services, namely, management of private investment funds.
`
`As the foregoing registered marks demonstrate, marks which contain the term ALPHA
`
`are capable of registration on the Principal Register. These marks not only use the term
`
`ALPHA but several also include the term “investment.” Much like these marks are not merely
`
`descriptive of their goods, Applicant’s mark is not descriptive. Thus, for the same reason that
`
`each of these marks is registrable, Applicant’s mark FACTOR BASED ALPHA should
`
`likewise be deemed capable of registration.
`
`

`

`CONCLUSION
`
`The Examining Attorney bears the burden of showing that a mark is merely
`
`descriptive of the relevant goods and services. In re Merrill, Lynch, Pierce, Fenner, and
`
`Smith, Inc., 828 F.2d 1567, 4 U.S.P.Q. 1141, 1143 (Fed. Cir. 1987). No such evidence has
`
`been presented. In particular, the Examining Attorney has provided no evidence as to the
`
`common understanding of Applicant's mark as a Whole.
`
`To the extent the Examining Attorney finds Applicant's FACTOR BASED ALPHA
`
`mark to fall Within the "gray area" between obviously descriptive and suggestive marks, all
`
`doubts must be resolved in Applicant's favor. In re Conductive Systems, Inc., 220 U.S.P.Q. 84,
`
`86 (TTAB 1983) (Where combination of two merely descriptive terms creates a mark that
`
`might be either descriptive or suggestive, doubts are to be resolved in favor of applicants;
`
`refusal reversed); In re Pennwalt Corp., 173 U.S.P.Q. 317, 319 (TTAB 1972) (DRI—FOOT not
`
`merely descriptive for antiperspirant foot deodorant; doubts to be resolved in favor of
`
`publication; refusal reversed). Accordingly,
`
`the Examining Attorney should Withdraw the
`
`refusal under Section 2(e)(1).
`
`Respectfully submitted,
`/Keisha M. Hardley/
`Keisha M. Hardley (MD Bar)
`Attorney of Record for the Applicant
`
`

`

`Dictionary Thesaurus Translate More...
`
`Log In
`0 0 <9
`Follow [hcbona nhcnrn
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`a I p
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`Word Origin
`
`1.
`2.
`3.
`
`the first letter ofthe Greek alphabet (A, 0).
`the vowel sound represented by this letter.
`the first; beginning.
`
`(Initial capital letter) Astronomy. used to designate the brightest star in
`a constellation.
`
`Chemistry. one of two or more isomeric compounds.
`
`the first in a series of related items: frequently used in chemistry and
`physics.
`
`Chiefly British. a mark or grade corresponding to an A.
`Compare beta (def 8), gamma (def 9).
`
`adjective
`8.
`a. (of an animal) having the highest rank in a dominance hierarchy:
`the alpha female of an elephant pack.
`1:. being the most dominant, powerful, or assertive person in a
`particular group.
`See also alpha male.
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`9.
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`Business Insurance E
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`|Hea”hCare Pro Insurance
`15 Minute Application
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`-
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`Q insureon
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`

`

`Exhibit B
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`Dtcllctn ry r
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`Atsu tuttrtdtrt flctioturyrntululul Iedlul Mrottyutn IdinrIt|_ Encyctnpodin Wlkipeflia
`
`AlphaMeasure at ml:-edrustea petlnrrhance some refer In the alpha as the difference between the thvestrnent retum and the benchmark return However, we does net pmperty adjust for risk Mme appropnatety an alpha is generated
`try regressing the security nrmunul lund'l em-as mum on the benchmark (lur exampte MP 500) excess return The ban adjusts fur the ristt (the shrpe cuerncterrt) The alpha ts the intercept Example suppose Ihe rnuwat
`tttnd has a return nr 25% and the shnrueam interest rate is 59:. (amass return is 20%) Duringttte same lime the rrunret excess return is 9% Suppose the beta at the mutual fund is 20 ttwtce as risky as the S&P 500) The
`expected onwn mum given the risk ‘ts 2 x 9'/o=t9'rb The actttat excess return is 20% Hence the alpha is 2% or ZUU buts pointer Alpha is itsu known is the Jovlwll Index The atpha depends an the benchmark used Fur
`example K may be the intercept tn :1 mutlifaclnr made] that Includes risk factors in additiat: tn the SKF SUD Retalad fisltadjusmd rettmt
`“CITE”tIu Crfl£M'tDtIl®2flI2 cnntmuu R. tun-:1 Amrnms Reselyed
`
`Alphas The measure :4 the porfonnnnce or a pamolio after aliusting tar rm Alpha is eatcutatea by corhpartng the uollrlllty or the portfoltu amt uorrrpartng tt to some bonclwnlrh The alpha is the norm mum at the pontultu own
`the benchmark II is irrtpurtant to Harkmnitz pottfutin (heavy and ts used as a wdtnitzl imlicllx
`Z. The excess relum lhal a porfiolin maka ever and abnve what the Izpilfl nsid |lricinQ lllndal estimates
`"c|'[£“ Ilfl Fartex Frtaltcial|1ir:EInuary a zotz Far-tex Iltc AI Rghk Resevveri
`
`alphaThe ntatherrtattcal eettmate ol the return on e securhy when the market return as a whete ts zero Atpha is derived hunt a tn the lorrnute R. = a - bH,,, which measures the return an a security (Ha tor a given return on the market
`(R...) where b is beta See atsu uptuum pricing mount rztrararnutntc lino
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`Alpha.
`
`