WHAT WE DO... WHO WE ARE... WHY BLUE RIVER...
|
|
- Bartholomew Ray
- 5 years ago
- Views:
Transcription
1 WHAT WE DO... We provide outsourced SEC & CFTC Regulatory Compliance Program Design, Implementation, and Ongoing Management, Financial Controls Monitoring, Back Office Operational Support, and selective Accounting services to Hedge Funds, Private Equity Firms, RIAs, RICs, CPOs, CTAs, Fund of Funds, and Family Offices across the entire spectrum of structures, strategies, and asset classes. WHO WE ARE... Headquartered in Dallas, with satellite offices in New York, Chicago, and San Francisco; Blue River is predominantly comprised of experienced partner-level Attorneys and CPAs who have joined us from their prior roles as CCOs, CFOs, COOs, and General Counsel at numerous large and complex alternative and traditional investment entities. WHY BLUE RIVER... Blue River clients are able to leverage our highly-customized and institutional-quality services to markedly reduce costs, increase operational efficiency, and further mitigate risk because they have direct access to the collective knowledge of our entire team of professionals who perform these services for numerous clients across the nation on a daily basis. Outsourced Compliance and Operational Infrastructure for Investment Management Firms 1
2 TESTIMONIALS Blue River s experience launching an SEC registered investment advisor and hedge fund has been invaluable to us at Fundamental Global. Blue River s expertise in operations, compliance, finance and accounting is truly world-class and of the highest institutional quality. We would recommend Blue River to anyone looking to set-up a hedge fund in the most intelligent way possible. We believe that Blue River s business model is the future of hedge fund operations and compliance. - Kyle Cerminara, Co-Founder of Fundamental Global Investors, LLC I highly recommend Blue River s services to any early stage fund. They were instrumental in helping launch our fund and they remain an invaluable resource as we grow, providing compliance and operational capabilities of the highest quality. - Christopher Laporte East Canyon Capital We ve been extremely pleased with our relationship with Blue River. It s been a cost effective way of outsourcing our needs and still getting a very high level of professional expertise in the hedge fund space. - Jim Leatherberry, CEO Santa Fe Partners LLC Blue River has been a great extension of the RoundRock team. They have proven themselves to be an invaluable partner as they allow us to focus on what s most important managing our clients assets. - Wade Suki, Executive Director RoundRock Capital Partners Blue River is a valuable partner that has surpassed my expectations of service and value. The startup services are outstanding, but the real value has been is in the day-to-day operations support and the quality of advice that comes from their deep and varied industry experience. I firmly believe Blue River enables a superior operating environment where managers have the time and focus to deliver their best results, and investors have the comfort of a strong compliance and operations platform. - Bret Stanley, Founder & Managing Partner Stanley Capital Outsourced Compliance and Operational Infrastructure for Investment Management Firms 2
3 OUR EXPERIENCE Investment Vehicles Experience Hedge Funds (Domestic and Foreign) Master/Feeder & Mini-Master Fund Structures Fund of Funds & Fund of Separate Accounts Private Equity, Venture Capital Funds & Commodity Pools Insurance Dedicated Funds & Hybrid Vehicles Publicly & Privately Offered Closed-End Funds Open-End Mutual Funds Real Estate Investment Trusts (REITs) Collateralized Debt/Loan Obligation Issuers (CDOs, CLOs) Financial Services Companies Experience Registered Investment Advisers (SEC & State) CFTC/NFA Registered CTAs and CPOs Registered Broker-Dealers Insurance Companies State Chartered Commercial Banks Investment Strategies Experience Public & Private Equities ETFs, ETNs and Investible Indices Private Investments in Public Equity (PIPEs) Publicly Offered Master Limited Partnerships (MLPs) Corporate, High Yield and Convertible Bonds Options, Futures, Physical Commodities & Other Derivatives SWAPs Total Return, Credit Default, OTC Bank Debt and Senior Secured Loans Credit Facilities and Financing Arrangements Merger & Convertible Arbitrage Collateralized Debt/Loan (CDO/CLO) Note Obligations Energy, Real Estate and Natural Resources Outsourced Compliance and Operational Infrastructure for Investment Management Firms 3
4 START-UP/NEW LAUNCH SERVICES Structuring and implementing new products, including Hedge Funds (Domestic and Offshore), Private Equity Funds, Venture Capital Funds, Commodity Pools, Real Estate Funds, Registered Investment Companies, Business Development Companies, Insurance Dedicated Funds, CLOs/CDOs, and Exchange Traded Notes Drafting and filing investment advisor formation and registration SEC/State/CFTC/NFA Drafting comprehensive compliance manuals tailored to specific strategies and structures Designing and implementing quarterly compliance testing regime Collaborating with client's counsel to draft: o Fund offering materials o Fund operating agreements o Investment management agreements o Offshore fund registrations Establishing banking and brokerage accounts Establishing and negotiating swap arrangements (ISDAs) Managing name reservations and trademark registrations Filing SEC Form D and Blue Sky documents Recommending communications and marketing disclaimers Evaluating, negotiating and managing third-party service provider agreements (i.e. Law Firms, Fiduciary Service Providers, Administrators, Auditors, Prime Brokers, Custodians, Trading Counter-parties, Payroll Services, Employee Benefit Plans, etc.) Advising on corporate governance Best Practices (i.e. Composition of Board of Directors) PROJECT BASED SERVICES Drafting and filing investment advisor registrations - SEC/State/CFTC/NFA Drafting and filing required regulatory filings - Form ADV, 13F, SLT, etc. Comprehensive Form PF, CPO-PQR & CTA-PR project management and risk assessments Comprehensive compliance program build-out and/or existing program reviews o Drafting and reviewing policies and procedures manuals o Conducting Gap & Risk Assessments o Compliance related employee training Conducting operational audits financial controls assessments, expense budgeting, etc. Conducting mock examinations Assisting with advisor and fund due diligence reviews Providing regulatory examination support Managing fund dissolutions Outsourced Compliance and Operational Infrastructure for Investment Management Firms 4
5 ONGOING COMPLIANCE SERVICES Providing daily use of Blue River resources for legal and regulatory compliance issues and inquiries, including structuring advice Comprehensive administration of ongoing compliance procedures such as: o Employee personal trade clearing o Coordination of annual employee certifications and reports related to Code of Ethics o Pay to Play compliance and contribution clearing o Review of marketing material, performance reports, and investor letters o Distribution and monitoring of regulatory investor communications o Annual and periodic updates to adviser registration materials o Managing non-public information and restricted lists o Monitoring of portfolio position limits and ownership thresholds o Managing ongoing securities filings related to portfolio holdings o Managing ongoing adviser and fund regulatory filings o Monitoring restricted periods and coordinating disposition of restricted physical securities o Maintaining proxy records o Managing best execution reviews o Managing "Soft Dollar" budgeting and administration o Maintaining crucial information logs relating to policy breaches, investor complaints and regulatory inquires o Maintaining disaster recovery and business continuity planning and testing o Managing employee surveillance o Maintaining requested record keeping Conducting quarterly forensic testing of the entire compliance program Quarterly compliance program updates for regulatory and firm structural changes Performing required annual written compliance reviews Providing ongoing employee compliance training Reviewing and negotiating solicitation arrangements Reviewing subscription documents Maintaining ongoing "Blue Sky" filings Assisting with lead advisor s responses to regulatory inquiries and examinations Assisting with investor due diligence inquiries Outsourced Compliance and Operational Infrastructure for Investment Management Firms 5
6 ONGOING OPERATIONAL OVERSIGHT & FINANCIAL CONTROLS SERVICES Providing daily use of Blue River resources for operational issues and inquiries Reviewing (Hedge Fund) or preparing (Private Equity) monthly financial packages to ensure accurate NAV, performance and investor capital statements Managing annual audits Drafting and/or reviewing financial statements Distributing required reporting to counter-party credit departments Reviewing and filing management company tax returns Monitoring cash management and controls Calculating fees and managing billings Reconciling cash positions and P&L Establishing and maintaining trading, custody and financing relationships Managing third party valuation firms for "Hard-to-Value" securities Assisting with lead advisor responses to due diligence requests related to operations Attending meetings with potential investors Responding to investor inquiries and requests Facilitating investor introductions when appropriate Outsourced Compliance and Operational Infrastructure for Investment Management Firms 6
7 CONTACTS CHIEF EXECUTIVE OFFICER Mark Fordyce, CPA GENERAL COUNSEL Michael Minces, JD OUR OFFICES DALLAS-HEADQUARTERS 1909 Woodall Rodgers Suite 560 Dallas, TX Main Phone: CHICAGO 1 South Dearborn Center Suite 2100 Chicago, IL Main Phone: NEW YORK 250 Park Avenue 7th Floor New York, NY Main Phone: SAN FRANCISCO 425 Market Street Suite 2200 San Francisco, CA Main Phone: Outsourced Compliance and Operational Infrastructure for Investment Management Firms 7
WHAT WE DO... WHO WE ARE... WHY BLUE RIVER...
WHAT WE DO... We provide outsourced SEC & CFTC Regulatory Compliance Program Design, Implementation, and Ongoing Management, Financial Controls Monitoring, Back Office Operational Support, and selective
More informationComprehensive Institutional Quality Back-Office Solution.
Comprehensive Institutional Quality Back-Office Solution Regulatory Compliance CFO Operations Private Equity Administration Tax Fund Launch IT & Cybersecurity www.blueriverpartnersllc.com Table of Contents
More informationScott Brindley Principal Consultant ACA Compliance Group. Cary J. Meer Partner K&L Gates LLP
Significant Washington Changes DC Compliance to CFTC Roundtable Regulations Seminar Impacting Private Fund Managers February April 15, 21, 2010 2012 Scott Brindley Principal Consultant ACA Compliance Group
More informationSHARTSIS FRIESE LLP One Maritime Plaza Eighteenth Floor San Francisco, California
SF SHARTSIS FRIESE LLP One Maritime Plaza Eighteenth Floor San Francisco, California 94111-3598 January 16, 2013 VIA E-MAIL To Our Investment Adviser Clients and Other Friends: This is our annual letter
More informationInvestment Adviser Registration Overview 2012
Investment Adviser Registration Overview 2012 Bart Mallon January 2012 San Francisco 150 Spear Street, Suite 825 San Francisco, CA 94105 Telephone (415) 352 23002300 Fax (646) 619 4800 New York 8 West
More informationCPO Compliance Series: Registration Obligations of Principals and Associated Persons (Part Three of Three)
hedge LAW REPORT fund law and regulation Commodity Pool Operators CPO Compliance Series: Registration Obligations of Principals and Associated Persons (Part Three of Three) By Stephen A. McShea, Cary J.
More informationFUTURES COMMISSION MERCHANT RELATED DISCLOSURE AND POLICY
FUTURES COMMISSION MERCHANT RELATED DISCLOSURE AND POLICY Futures Commission Merchant Material Conflicts of Interest The purpose of this disclosure is to provide you with information about some of the
More informationSan Francisco, California TUESDAY, NOVEMBER 5, 2013 (All times Pacific Standard Time)
9:00 am 9:05 am Welcome and Introduction Presented by Richard M. Phillips Mr. Phillips concentrates his practice in securities regulation, particularly SEC enforcement, investment management and broker/
More informationForm ADV Part 2A Disclosure Brochure. WrapManager, Inc. 703 Market Street, 18th Floor San Francisco, CA
Form ADV Part 2A Disclosure Brochure WrapManager, Inc. 703 Market Street, 18th Floor San Francisco, CA 94103 415-541-7774 www.wrapmanager.com Date of Brochure: March 2014 This brochure provides information
More informationDave Banerjee, CPA. Speaker Media Kit July 2015
Dave Banerjee, CPA Speaker Media Kit July 2015 www.finracompliance.com www.davebanerjee.com Introduction Dave Banerjee, CPA Working with Dave Banerjee, CPA - Dave Banerjee is an experienced consultant
More informationClient Update CFTC Responds to Frequently Asked Questions Regarding Forms CPO-PQR and CTA-PR
1 Client Update CFTC Responds to Frequently Asked Questions Regarding Forms CPO-PQR and CTA-PR NEW YORK Byungkwon Lim blim@debevoise.com Gary E. Murphy gemurphy@debevoise.com Michael J. Decker mdecker@debevoise.com
More informationBest practices for multiple sub-adviser mutual funds
Best practices for multiple sub-adviser mutual funds Operational and compliance best practices for mutual fund portfolios with multiple sub-advisers Proliferation of sub-advised mutual funds The continual
More informationGoldberg Advisers, LLC
Goldberg Advisers, LLC 44 Montgomery Street, Suite 2100 San Francisco, CA 94104 (415) 399-9100 February 3, 2011 This brochure provides information about the qualifications and business practices of Goldberg
More informationLaunching a HEDGE FUND in 2017: KEY STRUCTURAL AND OPERATIONAL ISSUES
Launching a HEDGE FUND in 2017: KEY STRUCTURAL AND OPERATIONAL ISSUES FUND FORMATION SERVICES What sort of legal structure should be used? Most domestic hedge funds are organized as limited partnerships
More informationCFTC Part 4 Exemption Easy Reference Guide. Click on the exemption type for more information on how to file and requirements for each exemption.
Click on the exemption type for more information on how to file and requirements for each exemption. Exemption Type General Relief Who Qualifies Exemptions from CPO Registration 4.13(a)(1) (Pool level
More informationALPHACLONE WRAP FEE PROGRAM BROCHURE
Item 1 Wrap Fee Program Brochure Cover Page ALPHACLONE WRAP FEE PROGRAM BROCHURE MARCH 2013 Sponsored by: AlphaClone LLC One Market Street Steuart Tower, Suite 1208 San Francisco CA 94105 phone: (415)
More informationSignificant Changes to CFTC Regulations Impacting Registered Investment Companies
Significant Changes to CFTC Regulations Impacting Registered Investment Companies Rachel H. Graham, Senior Associate Counsel Investment Company Institute Cary J. Meer, Partner Washington, D.C. Mark C.
More informationA Guide to Starting Your CTA Program
A Guide to Starting Your CTA Program TABLE OF CONTENTS Guide to Starting Your CTA Program or Fund page 3 CTA Program Checklist page 4 CTA Services Menu page 5 Customized Position Reports page 6 CTA Online
More informationHEDGE FUND ADVISER REGISTRATION AND COMPLIANCE
HEDGE FUND ADVISER REGISTRATION AND COMPLIANCE Cary J. Meer Mark D. Perlow September 19, 2005 DC-#728969-v2 Current Exemption from Registration Until February 1, 2006, where advice is provided to an entity
More informationInvestment Management
Investment Management Investment Management OUR PRACTICE For over 90 years, Stradley Ronon s investment management practice has helped shape the investment management industry by assisting with the creation
More informationHenry Bregstein. Partner New York p Practices. Industries. Recognition
Henry Bregstein Partner henry.bregstein@kattenlaw.com New York p +1.212.940.6615 Practices FOCUS: Financial Services Liquid Alternatives Investment Companies Private Funds and Investment Management Structured
More informationJoel Isaacson & Co., LLC
Disclosure Brochure August 1, 2017 Item 1 Cover Page Joel Isaacson & Co., LLC 546 Fifth Avenue, 20 th Floor New York, NY 10036 (212) 302-6300 www.joelisaacson.com August 1, 2017 This Brochure provides
More informationPart 2A Appendix 1 of Form ADV: Wrap Fee Program Brochure. 400 Park Avenue, 10 th Floor New York, NY January 9, 2017
Part 2A Appendix 1 of Form ADV: Wrap Fee Program Brochure Item 1 Cover Page 400 Park Avenue, 10 th Floor New York, NY 10022 Telephone: 212-702-3500 Facsimile: 212-702-3535 Internet: www.cnr.com January
More informationFirm Brochure March 31, Concordia Advisors, L.L.C Avenue of the Americas, Suite 3202 New York, NY 10019
Firm Brochure March 31, 2011 Concordia Advisors, L.L.C. 1350 Avenue of the Americas, Suite 3202 New York, NY 10019 Website: www.concordiafunds.com Contact: Kenneth J. Carroll, Chief Compliance Officer
More informationLance A. Zinman. Partner West Monroe Street Chicago, IL Practices
Lance A. Zinman Partner +1.312.902.5212 lance.zinman@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices FOCUS: Financial Services Investment Companies Liquid Alternatives Corporate Governance
More informationOutsourcing Trends in Nonprofit Investment Management IPA/GIFT Finance & Investment Deep Dive Day November 4, 2015
Outsourcing Trends in Nonprofit Investment Management IPA/GIFT Finance & Investment Deep Dive Day November 4, 2015 This document is for institutional use only and redistribution is expressly prohibited.
More informationForm ADV Program Brochure Morgan Stanley Smith Barney LLC. Graystone Consulting. June 30, 2014
Form ADV Program Brochure Morgan Stanley Smith Barney LLC Graystone Consulting June 30, 2014 2000 Westchester Avenue Purchase, NY 10577 Tel: (914) 225-1000 Fax: (614) 283-5057 www.morganstanleyclientserv.com
More informationTonge Investments. Due Diligence Questionnaire. March 2018
Tonge Investments Due Diligence Questionnaire March 2018 This document is for informational purposes only and is not and should not be construed as an offer to sell or a solicitation of an offer to buy
More informationAmended as of January 1, 2018
THE WALLACE FOUNDATION INVESTMENT POLICY Amended as of January 1, 2018 1. INVESTMENT GOAL The investment goal of The Wallace Foundation (the Foundation) is to earn a total return that will provide a steady
More informationCFTC Proposes First Clearing Mandate and Finalizes Phased Compliance Rules
AUGUST 10, 2012 DERIVATIVES UPDATE CFTC Proposes First Clearing Mandate and Finalizes Phased Compliance Rules On July 24, 2012, the Commodity Futures Trading Commission ( CFTC ) proposed its first clearing
More informationGALLAGHER REAL ESTATE & HOSPITALITY PRACTICE. Real Insurance Solutions for Real Estate and Hospitality
GALLAGHER REAL ESTATE & HOSPITALITY PRACTICE Real Insurance Solutions for Real Estate and Hospitality Real Estate & Hospitality Risk Management Services We Understand Your Business Understanding the specific
More informationForm ADV Part 2A: Firm Brochure March 28, 2018
Form ADV Part 2A: Firm Brochure March 28, 2018 80 Washington Street, Building E-13 Norwell, MA 02061 (781) 792-0440 www.dfmwealth.com This brochure provides information about the qualifications and business
More informationSHARTSIS FRIESE LLP One Maritime Plaza Eighteenth Floor San Francisco, California
SF SHARTSIS FRIESE LLP One Maritime Plaza Eighteenth Floor San Francisco, California 94111-3598 January 12, 2016 VIA EMAIL To Our Investment Adviser Clients and Other Friends: This is our annual letter
More informationCFTC Harmonization Rules
2013 Morrison & Foerster LLP All Rights Reserved mofo.com CFTC Harmonization Rules Webinar September 4, 2013 Presented by Jay G. Baris Anna T. Pinedo NY2 722798 Caveat This outline is for informational
More informationInvestment Advisers Compliance To Do list for 2018 SEC Regulatory Deadlines for Investment Advisers Updated January 11, 2018
Investment Advisers Compliance To Do list for 2018 SEC Regulatory Deadlines for Investment Advisers Updated January 11, 2018 By: Jaqueline M. Hummel, Esq., IACCP Partner and Managing Director Hardin Compliance
More informationGlobal Regulatory Reminders. Quick Reference Guide Q1 2014
Global Regulatory Reminders Quick Reference Guide Q1 2014 BRO-12-13-0043_8.indd 1-2 12/30/13 10:38 AM Global Regulatory Reminders Quick Reference Guide All information provided herein is for discussion
More informationForm ADV Wrap Fee Program Brochure Morgan Stanley Smith Barney LLC
Form ADV Wrap Fee Program Brochure Morgan Stanley Smith Barney LLC Fiduciary Services Program Consulting and Evaluation Services Program Investment Management Services Program Private Wealth Management
More informationForm ADV Part 2A: Firm Brochure March 10, 2017
Form ADV Part 2A: Firm Brochure March 10, 2017 80 Washington Street, Building E-13 Norwell, MA 02061 (781) 792-0440 www.dfmwealth.com This brochure provides information about the qualifications and business
More informationO P E R A T I O N A L A N D C O S T E F F I C I E N C I E S F O R A C O M P E T I T I V E E D G E
O P E R A T I O N A L A N D C O S T E F F I C I E N C I E S F O R A C O M P E T I T I V E E D G E I n v e s t m e n t O p e r a t i o n s O u t s o u r c i n g F O C U S O N Y O U R C O R E S T R E N
More informationForm ADV Part 2A - Brochure
COVE PAGE Form ADV Part 2A - Brochure 5600 Wyoming NE, Suite 220 Albuquerque, NM 87109 321 N. Clark Street, 5 th Floor Chicago, IL 60654 505 828 2824 www.hanseaticgroup.com March 27, 2017 This brochure
More informationFirm Brochure Parkland Boulevard, Suite 306 Mayfield Heights, Ohio, (216)
Firm Brochure This brochure provides information about the qualifications and business practices of St. Clair Advisors, LLC. If you have any questions about the contents of this brochure, please contact
More informationPrincipal Listing Exchange for each Fund: Cboe BZX Exchange, Inc.
EXCHANGE TRADED CONCEPTS TRUST Prospectus March 30, 2018 REX VolMAXX TM LONG VIX WEEKLY FUTURES STRATEGY ETF (VMAX) REX VolMAXX TM SHORT VIX WEEKLY FUTURES STRATEGY ETF (VMIN) Principal Listing Exchange
More informationNeuberger Berman Investment Advisers LLC
Neuberger Berman Investment Advisers LLC Client Brochure March 29, 2018 1290 Avenue of the Americas New York, NY 10104 www.nb.com This Brochure provides information about the qualifications and business
More information3141 Hood Street; Suite 650 Dallas, TX Daniel Harvey: July 2011
3141 Hood Street; Suite 650 Dallas, TX 75219 Daniel Harvey: 214-599-9967 dharvey@patronusadvisorsllc.com This brochure provides information about the qualifications and business practices of. If you have
More informationALTERNATIVE MUTUAL FUNDS A GUIDE FOR MUTUAL FUND MANAGERS
ALTERNATIVE MUTUAL FUNDS A GUIDE FOR MUTUAL FUND MANAGERS Introduction This document is a high-level guide for mutual fund companies interested in launching liquid alternative products. Scotiabank has
More informationDe r i vat i v e s a n d
De r i vat i v e s a n d Trading Update July 2010 Analysis of the Dodd-Frank Wall Street Reform Act OTC Derivatives Reform: Wall Street Transparency and Accountability Act of 2010 I. Introduction Title
More informationPart 2 of Form ADV: Firm Brochure
Part 2 of Form ADV: Firm Brochure Firm Brochure Equity Logic, LLC Thomas H. Kee Jr., President 415.999.9033 tomkee@equitylogic.net www.equitylogic.net PO Box 922 La Jolla, CA. 92038 11.7.18 This brochure
More informationForm ADV Wrap Fee Program Brochure Morgan Stanley Smith Barney LLC
Form ADV Wrap Fee Program Brochure Morgan Stanley Smith Barney LLC Fiduciary Services Program Consulting and Evaluation Services Program Investment Management Services Program Private Wealth Management
More informationSovereign Legacy, Inc. Form ADV Part 2 Brochure
Item 1. Cover Page Sovereign Legacy, Inc. Form ADV Part 2 Brochure 2073 Alaqua Lakes Blvd. Longwood, FL 32779-3203 Phone: (800) 922-5601 Email: compliance@ftc.me March 31, 2018 This brochure provides information
More informationCFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions
August 21, 2012 *Updated November 6, 2012 Practice Groups: Investment Management Hedge Funds and Venture Funds Derivatives CFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration
More informationEXPERTISE AND GUIDANCE TO SMALL-CAP COMPANIES INVESTOR RELATIONS PHOENIX NEW YORK
EXPERTISE AND GUIDANCE TO SMALL-CAP COMPANIES INVESTOR RELATIONS PHOENIX NEW YORK INVESTOR RELATIONS INVESTOR RELATIONS SOLUTIONS FOR THE WORLD S INNOVATIONS SINCE 1994 Lytham Partners is one of the country's
More informationInvestment Management and Private Funds: What s Happening Now
Investment Management and Private Funds: What s Happening Now Exotic fund structures and their implications, including AML and KYC Gregory J. Nowak, Pepper Hamilton LLP Angel Colon, Factury, Inc. Mark
More informationDevelopments in Private Funds, Separate Accounts and CLOs
2017 INVESTMENT MANAGEMENT CONFERENCE SAN FRANCISCO Developments in Private Funds, Separate Accounts and CLOs Cary J. Meer, Partner, New York and Washington, D.C. Sasha Burstein, Partner, San Francisco
More informationMoloney Securities Asset Management, LLC Wrap Fee Program Brochure
Moloney Securities Asset Management, LLC Wrap Fee Program Brochure This wrap fee program brochure provides information about the qualifications and business practices of Moloney Securities Asset Management,
More informationBy Kenneth Muller and Seth Chertok. Vol. 18, No. 8 August 2011
Vol. 18, No. 8 August 2011 The Impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act on Real Estate Investment Advisers and Real Estate Funds Exemptions: Part 2 of 2 By Kenneth Muller
More informationAIFMD 2014 Update private placements: where did we end up, and where are we going?
SEPTEMBER 8, 2014 INVESTMENT FUNDS UPDATE AIFMD 2014 Update private placements: where did we end up, and where are we going? Introduction The European Union Alternative Investment Fund Managers Directive
More informationINTRODUCTION REQUIRED DISCLOSURES AND HELPFUL INFORMATION
INTRODUCTION Nanhua USA LLC is a Futures Commission Merchant ( FCM ) registered with the Commodity Futures Trading Commission ( CFTC ) and a member of the National Futures Association ( NFA ). An FCM is
More informationForm ADV Part 2A Brochure and Form ADV Part 2B Brochure Supplement
Item 1 Cover Page Hutchinson & Ziegler Financial Advisors, Inc. Form ADV Part 2A Brochure and Form ADV Part 2B Brochure Supplement Updated: March 31, 2014 1010 B Street, Suite 325 San Rafael, CA 94901
More informationBrighton Jones, LLC SEC File Number:
Item 1 Cover Page Brighton Jones, LLC SEC File Number: 801 57087 ADV Part 2A, Firm Brochure Dated: June 13, 2017 Contact: Tyler Mayfield, Chief Compliance Officer 2030 1 st Avenue, 3 rd Floor Seattle,
More informationABC Fund Limited Operational Certification Summary Report
ABC Fund Limited Operational Certification Summary Report January 2017 This sample operational certification summary report, including the name of the fund, fund manager, service providers and systems
More informationCPO Compliance Series: Conducting Business with Non-NFA Members (NFA Bylaw 1101) (Part One of Three)
hedge LAW REPORT fund law and regulation Commodity Pool Operators CPO Compliance Series: Conducting Business with Non-NFA Members (NFA Bylaw 1101) (Part One of Three) By Stephen A. McShea, Cary J. Meer
More informationFIRST REPUBLIC INVESTMENT MANAGEMENT It's a privilege to serve you
FIRST REPUBLIC INVESTMENT MANAGEMENT It's a privilege to serve you WRAP FEE BROCHURE First Republic Investment Management, Inc. ( FRIM ) 111 Pine Street San Francisco, CA 94111 Phone: 415-392-1400 https://www.firstrepublic.com/private-wealth-management/investment-management-services
More informationForm ADV Firm Brochure Morgan Stanley Smith Barney LLC
Form ADV Firm Brochure Morgan Stanley Smith Barney LLC Consulting and Evaluation Services (directed brokerage) Program Investment Management Services (directed brokerage) Program October 17, 2014 2000
More informationTable of Contents. 3 Introduction. 4 Statement of Purpose. 5 Investment Performance Summary. 6 Investment Goals. 7 Strategic Assumptions
Table of Contents 3 Introduction 4 Statement of Purpose 5 Investment Performance Summary 6 Investment Goals 7 Strategic Assumptions 8 General Investment Policies 14 Responsibilities 20 Asset Guidelines
More informationBacon Financial Management, Inc. dba Financial Strategies Group Client Brochure
Bacon Financial Management, Inc. dba Financial Strategies Group Client Brochure This brochure provides information about the qualifications and business practices of Bacon Financial Management, Inc. dba
More informationInvestment Fund Legal Documents
Investment Fund Legal Documents DOCUMENTS AND FILINGS NEEDED TO FORM A FUND Capital Fund Law Group John S. Lore, Esq. Managing Partner To effectively start an investment fund, the sponsor must safely navigate
More informationSEC Number: ADVISORY SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE
ADVISORY SERVICES WRAP FEE PROGRAMS SEC Number: 801-43561 October 31, 2018 DISCLOSURE BROCHURE This Brochure provides information about the qualifications and business practices of Century Securities Associates,
More informationKey issues. Client memorandum. February CFTC Exemptions 1
CFTC Exemptions 1 Client memorandum February 2012 CFTC Significantly Limits the Exemption from Commodity Pool Operator Registration for Registered Investment Advisers and Rescinds the Registration Exemptions
More informationValue This! Hot Topics in Valuation for Investment Advisers. Fall 2017
Value This! Hot Topics in Valuation for Investment Advisers Fall 2017 Presenters Nicole M. Kuchera Counsel Chicago, IL 312.964.3507 nkuchera@stradley.com Nicole Kuchera represents securities and commodities
More informationVIVALDI OPPORTUNITIES FUND PROSPECTUS
VIVALDI OPPORTUNITIES FUND PROSPECTUS September 14, 2017 The Vivaldi Opportunities Fund (the Fund ) is a Maryland corporation registered under the Investment Company Act of 1940, as amended (the Investment
More informationInvestment Committee Charter
Investment Committee Charter Mission Statement The Investment Committee (the Committee ) of the Northern Arizona University Foundation (the Foundation ) will assist the Board of Directors in fulfilling
More informationZAIS GROUP, LLC 2 BRIDGE AVENUE SUITE 322 RED BANK, NJ (732) March 30, 2017 FORM ADV, PART II MARCH 30, 2012
March 30, 2017 Item 1 Cover Page ZAIS GROUP, LLC 2 BRIDGE AVENUE SUITE 322 RED BANK, NJ 07701 (732) 530-3610 WWW.ZAISGROUP.COM March 30, 2017 FORM ADV, PART II MARCH 30, 2012 This brochure provides information
More informationSTARTING A FUND MUTUAL FUNDS FUNDS SOLD ON INSURANCE PLATFORMS EXCHANGE-TRADED FUNDS
STARTING A FUND MUTUAL FUNDS FUNDS SOLD ON INSURANCE PLATFORMS EXCHANGE-TRADED FUNDS P O O L E D I N V E S T M E N T S O L U T I O N S 6916-GFS-8/2/2016 TABLE OF CONTENTS MUTUAL FUNDS...................................................................................
More informationADVANCED TOPICS IN INVESTMENT MANAGEMENT
ADVANCED TOPICS IN INVESTMENT MANAGEMENT 9:00 am 9:05 am Welcome and Introduction Presented by Michael S. Caccese Mr. Caccese is one of three Practice Area Leaders of K&L Gates Financial Services practice,
More informationSEC PROPOSES LIQUIDITY RISK- MANAGEMENT RULES. Christopher D. Menconi, Sean Graber, Beau Yanoshik, David W. Freese January 20, 2016
SEC PROPOSES LIQUIDITY RISK- MANAGEMENT RULES Christopher D. Menconi, Sean Graber, Beau Yanoshik, David W. Freese January 20, 2016 2015 Morgan, Lewis & Bockius LLP Overview Introduction Liquidity Risk
More informationEXCHANGE TRADED CONCEPTS TRUST. REX VolMAXX TM Long VIX Futures Strategy ETF. Summary Prospectus March 30, 2018, as revised April 25, 2018
EXCHANGE TRADED CONCEPTS TRUST REX VolMAXX TM Long VIX Futures Strategy ETF Summary Prospectus March 30, 2018, as revised April 25, 2018 Principal Listing Exchange for the Fund: Cboe BZX Exchange, Inc.
More informationIPS RIA, LLC CRD No
IPS RIA, LLC CRD No. 172840 RETIRMENT PLAN CLIENTS 10000 N. Central Expressway Suite 1100 Dallas, Texas 75231 O: 214.443.2400 F: 214.443.2424 FORM ADV PART 2A BROCHURE 3/1/2017 This brochure provides information
More information45 East Putnam Avenue ~ Suite 128 Greenwich, CT Phone number:
45 East Putnam Avenue ~ Suite 128 Greenwich, CT 06830 Phone number: 203.618.0103 Dated: March 30, 2015 This brochure provides information concerning the services and business practices of Greenwich Wealth
More informationCustom Portfolio Group LLC 2011 Form ADV Part 2A Disclosure Brochure
Custom Portfolio Group LLC 2011 Form ADV Part 2A Disclosure Brochure This Brochure provides information about the qualifications and business practices of Custom Portfolio Group LLC ( Custom Portfolio
More informationHatteras Core Alternatives Institutional Fund, L.P. Hatteras Core Alternatives TEI Institutional Fund, L.P. (the Funds )
February 27, 2017 Hatteras Core Alternatives Institutional Fund, L.P. Hatteras Core Alternatives TEI Institutional Fund, L.P. (the Funds ) Supplement to the Prospectus and Statement of Additional Information
More informationCovenant Multi-Family Offices, LLC SEC File Number:
Item 1 Cover Page Covenant Multi-Family Offices, LLC SEC File Number: 801 71043 Covenant Multi-Family Offices, LLC Brochure Dated March 3, 2014 Contact: Brian Garrison, Chief Compliance Officer 18756 Stone
More informationName: FIRM NAME Ending Date: 3/31/2018 NFA ID:
Name: FIRM NAME Ending Date: 3/31/2018 NFA ID: 0000000 COVER PAGE Please complete this Cover Page before proceeding. Your answers on this page will be used for determining your current filing obligations,
More informationACQUISITION & DISPOSITION ADVISORS ADVISORY & LEGAL SERVICES MALFITANOPARTNERS.COM YOUR PARTNER IN BUSINESS
ACQUISITION & DISPOSITION ADVISORS ADVISORY & LEGAL SERVICES MALFITANOPARTNERS.COM MEMBER OVERVIEW We are trusted partners to companies, corporate boards and management, business, asset or debt acquirers,
More informationMETROPOLITAN NASHVILLE AIRPORT AUTHORITY AGREED-UPON PROCEDURES INVESTMENT POLICIES FOR THE PERIOD JULY 1, 2016 TO JUNE 30, 2017
METROPOLITAN NASHVILLE AIRPORT AUTHORITY AGREED-UPON PROCEDURES INVESTMENT POLICIES FOR THE PERIOD JULY 1, 2016 TO JUNE 30, 2017 Independent Accountant s Report on Applying Agreed-Upon Procedures To the
More informationThe next generation mutual fund wrap programs
The next generation mutual fund wrap programs Wrap sponsors are restructuring the mutual fund wrap product Investor demand drives product differentiation The traditional mutual fund wrap program involves
More informationBLX Group LLC. 777 S. Figueroa St., Suite Los Angeles, California CRD Number
BLX Group LLC 777 S. Figueroa St., Suite 3200 Los Angeles, California 90017 213-612-2200 www.blxgroup.com CRD Number 111923 March 27, 2018 Form ADV, Part 2A This Brochure provides information about the
More informationWinston Investment Management, Inc.
FORM ADV Uniform Application for Investment Adviser Registration Part 2A: Investment Adviser Brochure and Brochure Supplements Item 1: Cover Page 200 Technecenter Dr. Suite 200 Milford, OH, 45150 (513)
More informationClient Update Final CFTC Rules on Aggregation of Positions
1 Client Update Final CFTC Rules on Aggregation of Positions NEW YORK Byungkwon Lim blim@debevoise.com Aaron J. Levy ajlevy@debevoise.com On December 5, 2016, the Commodity Futures Trading Commission (the
More informationFORM ADV, PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE DECEMBER 15, 2017
FORM ADV, PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE DECEMBER 15, 2017 This brochure provides information about the qualifications and business practices of Raymond James & Associates, Inc. If you have
More informationCOLONY FAMILY OFFICES, LLC
COLONY FAMILY OFFICES, LLC 6805 Morrison Boulevard Suite 310 Charlotte, NC 28211 (704) 285 7300 (main) (704) 285 7301 (fax) www.colonyfamilyoffices.com The Brochure Part 2A of Form ADV March 29, 2017 This
More informationRetirement Plan Advisors, LLC Client Brochure
Retirement Plan Advisors, LLC Client Brochure Updated March 31, 2018 This brochure provides information about the qualifications and business practices of Retirement Plan Advisors, LLC. If there are any
More informationIMPORTANT DISCLOSURES
Expand Your Reach. IMPORTANT DISCLOSURES This presentation is for educational purposes only and is not intended to project the performance of any specific investment. May not be suitable for all investors.
More informationNUKU Asset Inc. Brochure (Form ADV Part 2)
Item 1 Cover Page NUKU Asset Inc. Brochure (Form ADV Part 2) 755 Winslow Way E, Suite 300 Bainbridge, WA 98110 (206) 596 2110 https://nuku.com January 28, 2016 This brochure provides information about
More informationAudit and Permitted Non-Audit Services Pre-Approval Policy (Pertaining to the Company s Independent Auditor)
Audit and Permitted Non-Audit Services Pre-Approval Policy (Pertaining to the Company s Independent Auditor) Statement of Principles Pursuant to the Sarbanes-Oxley Act of 2002 (the Act ) and in accordance
More informationFund Directors Oversight of Derivatives. Mark Perlow Mutual Fund Directors Forum San Francisco Chapter Meeting April 2, 2008
Fund Directors Oversight of Derivatives Mark Perlow Mutual Fund Directors Forum San Francisco Chapter Meeting April 2, 2008 Overview Investment issues: Complicated and legitimate reasons to use derivatives
More informationAll Alternative Funds are Not Equal
May 19 New York All Alternative Funds are Not Equal Patrick Deaton, CAIA, Senior Vice President, Alternatives, Neuberger Berman David Kupperman, PhD, Managing Director, Alternatives, Neuberger Berman Today
More informationCHECKLIST OF NEW AND AMENDED FORM ADV PART 1A ITEMS
CHECKLIST OF NEW AND AMENDED FORM ADV PART 1A ITEMS This checklist includes only new and amended Items for Form ADV Part 1A as a result of SEC amendments adopted in August 2016 and is not a comprehensive
More informationDevelopments in Private Funds, Separate Accounts and CLOs
2017 WASHINGTON D.C. INVESTMENT MANAGEMENT CONFERENCE Developments in Private Funds, Separate Accounts and CLOs Todd W. Betke, Partner, K&L Gates LLP, Washington, D.C. Beth Clark, Of Counsel, K&L Gates
More informationDBX ETF Trust. Statement of Additional Information. Dated October 2, 2017, as supplemented June 6, 2018
DBX ETF Trust Statement of Additional Information Dated October 2, 2017, as supplemented June 6, 2018 This combined Statement of Additional Information ( SAI ) is not a prospectus. It should be read in
More informationWise Planning, Inc Tower Road, Winnetka, IL March 24, 2017
Item 1 Cover Page Wise Planning, Inc. 1401 Tower Road, Winnetka, IL 60093 847-834-9473 www.wiseplanninginc.com March 24, 2017 This Brochure provides information about the qualifications and business practices
More information