Page 1


Table of Contents ADMINISTRATION & PERFORMANCE SOFTWARE AlphaBot   HedgeFacts  

ADMINISTRATORS, ACCOUNTANTS AND CPAS CTA Services   Michael Coglianese CPA, P.C.   Weaver  

ASSET MANAGEMENT Brandywine Asset Management   RCM Alternatives  

6 19

14 20 28

10 23

COMPLIANCE AND DUE DILIGENCE SERVICES Compliance Supervisors International, Inc.   Strategic Compliance Solutions, LLC  

12 26

DATA BASES BarclayHedge   Stark & Company  

8 25

MARKETING Abby Consulting   Fund Peak   Gate 39 Media  

4 15 16

PRESS ATTORNEYS Cadwalader, Wickersham & Taft LLP  

11

CLEARING AND EXECUTION SERVICES ADM Investor Services   Coquest Inc.   R.J. O’Brien  

5 13 24

3

Hedge Fund Alert   Opalesque   Profit & Loss  

18 21 22

OTHER Alternatives TLC, LLC   Bodhi Research Group   Global Elements Consulting   Striker Securities, Inc  

7 9 17 27


Craig Holliday – With over 30 years of business experience, Mr. Holliday opened Abby Consulting to leverage his experience, knowledge, and aggregate business acumen. Abby Consulting is focused on two main business segments. First, Abby is a marketing firm for Alternative Investment Managers who need marketing assistance with all things client-facing. The focus is on client communications, managing expectations, prospect management, sales process management, a go-to-market plan, and ultimately raising capital to be invested with the manager. Abby does not represent managers with competing strategies but rather, seeks to manage a small number of discrete, compelling, and engaging managers who are committed to the effort and the process. Additionally, Abby Consulting will begin coaching managers on the message and skills necessary for a successful first presentation with an interested allocator/investor.

Abby Consulting

Second, the focus on FinTech results from the convergence of prior IT/Tech/Telecom experience with experience in the alternatives financial sector. Insight has been created by merging two, diverse career paths. The first path consists of prior broad responsibilities spanning direct sales and account management responsibility, Product Marketing, Product Management, and P&L accountability of a global product. The second path is represented by years of exposure to Hedge Funds, FoFs, Family Offices, Service Providers, banks, FCMs, Consultants, RIAs, platforms, Robo-advisors and contacts within the industry. Most recently, Mr. Holliday was VP of Marketing and Client Services for a discretionary, agricultural CTA. During four-years at the CTA, the firm experienced a 350%+ growth in AUM with over 95% of the AUM coming in the form of institutional allocations. Prior to the CTA, Mr. Holliday spent several years in the Alternative Investments sector with two separate and successful analytical solutions providers. The time spent at these firms provided excellent exposure to other service providers, the ongoing challenges facing managers and allocators, while laying laid the foundation for Mr. Holliday’s network of business and personal contacts within the industry. Mr. Holliday’s early career, lasting more than 20 years, was spent in the telecommunications and technology sector working for MCI, AT&T, Cable & Wireless, and Sprint. Working with applicationoriented solutions, Mr. Holliday held numerous roles at all levels with a special focus on Enterprise Selling at the C-level within multi-national companies. Mr. Holliday earned a BA in Marketing and an MBA in Finance, holds a Series 3, Series 30, Series 65, and is registered with the NFA. Craig L. Holliday Abby Consulting, LLC craig@abbyconsulting.org 901-230-9446 cell 4


ADMIS Institutional Prime Services

Global Growth Partner in Futures and Options Global Execution and Clearing Our Clients: CTAs - Hedge Funds - Family Offices – Fund of Funds - Commercial & Corporates Our Offering: Client Focused – Quality Execution and Clearing - Seamless 24 hour global offering Our Delivery: One Point of Contact– Efficient Onboarding – Robust Technology Solutions

ADM Investor Services Unique Model for Identifying New Talent

Two decades of experience in discovering and delivering divergent manager talent to our global allocators ADMIS is the largest non-bank FCM and a wholly owned subsidiary of Archer Daniels Midland (NYSE: ADM)

CTAS • Hedge Funds • Investors • Corporate • Commercial

We look forward to hearing from you. Please contact us at: (646) 839-5816 IPS.Sales@ADMIS.com

Chicago

New York

London

Hong Kong 5

Taipei

Singapore

Shanghai


AlphaBot

6


Alternatives TLC, LLC Time & Money Are Scarce Resources - Spend Them Well! You can run your business three ways: 1. Bury your head in the sand and ignore it 2. Buy piecemeal solutions for it; some in-house, some outsourced 3. Do the job once to free up time, save money and focus on what’s important Ask us about the "Emerging Manager Roadmap" - it's the help you need to streamline your office, to protect business and client information and to get Organized for Success.

Alternatives TLC

The “TLC” stands for Tender Loving Consulting!

Carol R. Kaufman

• Over 35 years’ industry experience • Creator of “InvesTier®” investor accounting software • Operations, IT, Investor Relations, HR, BCDR,

C: 201.562.3500 (easiest way to reach me…)

• Interim, virtual COO • Well-connected to industry people • Cost-Effective and Efficient

Founder/CEO 15 Nelke Ct. Hawthorne, NJ 07506

Documentation of Flows & Procedures

www.alternativestlc.com ckaufman@alternativestlc.com

7


BarclayHedge Are you enjoying the benefits of portfolio diversification? The BarclayHedge Managed Futures (CTA) Database will help you. Evaluate 300+ quantitative and qualitative data fields per fund. Compare over 1,000 managed futures funds. You decide the parameters. Benchmark against the BarclayHedge CTA Index and its associated sub-indices – the gold standard for benchmarking returns in the managed futures sector. Trust the information you receive; timely, accurate and comprehensive. Make investment decisions with greater precision and in less time.

Ask us how you can receive a free trial of FundFinder Pro, Barclay’s integrated fund search and analytics platform!

questions@barclayhedge.com

+1 (641) 472-3456

www.barclayhedge.com

Follow Us 8


ADVANTAGE THROUGH

INSIGHT

At Bodhi Research Group, we utilise our strong global strategic relationships to research rms on alternative investments.

Bodhi Research Group

We complement the internal teams of pensions, endowments, sovereign wealth funds, family ofces, and service providers in their work in alternative investments. Add Bodhi to your team! Bodhi Research Group is an independent, conict-free rm that is fully focused on research and education in the alternative investments arena. • Manager Research • Due Diligence (Investment, Operational, Statistical) • Evaluate and Implement Managed Account Platforms • Hedge Fund Portfolio Construction and Asset Allocation • Special Projects • Innovative Fee Methodologies • Education and Training

Bodhi Research Group First Canadian Place, 100 King Street West, Suite 5600, Toronto, Ontario, Canada. M5X 1C9

www.bodhiresearchgroup.com info@bodhiresearchgroup.com +1.416.716.0341

9


Brandywine Symphony Preferred Chief Investment Officer usingFund Return Driver Based Approach Based on its long legacy of innovation in the creation and management of investment products, Brandywine brings a truly unique focus to providing comprehensive Chief Investment Officer services to family offices and institutional investors. But Brandywine is clearly not your conventional CIO. Brandywine uses an innovative “Return Driver” based approach to create investment portfolios that can both lower risk and increase returns compared to conventionally-structured portfolios. This approach has been employed by Brandywine for more than 30 years and in 2011 was disclosed in a best-selling book written by Brandywine’s founder and CEO, Mike Dever. Brandywine has used this approach to trade a variety of proprietary investment programs. These included the Brandywine Benchmark and Symphony managed futures programs, plus Brandywine’s market neutral equity, tactical asset allocation, global macro and long-short equity programs. A common feature of these programs has been their non-correlation with virtually all other investment products. This brings a fresh perspective to family offices that are concerned with the event risk associated with long equity and fixed income portfolios.

Brandywine Asset Management Brandywine’s Principals Brandywine and its principals have wide-ranging experience with wealth management, alternative investments (including managed futures, crisis alpha, market neutral equity and tactical asset allocation), venture investing and entrepreneurship, real estate development, residential rentals and construction, equities, equity options, risk arbitrage, swaps and structured products. Mike Dever, Brandywine’s Founder & CEO, in addition to his long tenure as a CTA (registered in 1981) has also been a great early identifier of investment talent, first allocating money to Paul Tudor Jones in 1985, John W. Henry shortly after meeting him in the early 1980s, and Transtrend when he became their first outside investor in 1992.

Joe Gabor began advising some of today’s largest hedge funds when they were mere startups. After his college internship and intense equity derivative training program on the Philadelphia Stock Exchange he was asked to relocate to New York City to launch an equity option specialist franchise for his firm on the American Stock Exchange.

As an internet entrepreneur, Mr. Dever founded and ran spree.com, which became the 7th most-trafficked internet commerce site by 1999. Among other pioneering accomplishments, Spree was the exclusive ecommerce partner for the PGA Tour.

From there he specialized in market neutral strategies and special situations, advising funds run by then unknown managers such as John Paulson of Paulson Funds and Tom Steyer of Farallon.

Mr. Dever also co-founded Internetseer.com, which became the world’s largest web site monitoring company. He was instrumental in selling the company to Landmark Communications (then the owner of The Weather Channel) in 2007.

He has personally built and led business units that have generated fees and profits ranging from $25mm to $255mm annually at firms such as Lehman Brothers and Cantor Fitzgerald. Most recently, Mr. Gabor has been consulted on for diverse roles with a single family office that includes the disposition of a $50 million gem stone collection and other personal matters related to the Principal.

Early in his career Mr. Dever set up a partnership that purchased, renovated, managed and profitably sold residential apartments in West Chester, Pennsylvania. Mr. Dever is a board member of the National Futures Association CPO/CTA Advisory Committee, holds the Certified Financial Planner designation and has a B.S. in Business from West Chester University.

Mr. Gabor has 25 years’ experience and a depth of knowledge in numerous financial areas.

10


Cadwalader advises leading financial institutions, funds and corporations, providing singular client service, crafting innovative business solutions and developing sophisticated legal strategies. We represent a broad range of clients, including hedge funds, commodity trading companies, futures

Cadwalader, Wickersham & Taft LLP exchanges, futures commission merchants (FCMs), commodity pool operators (CPOs) and commodity

trading advisors (CTAs) in all types of transactional and regulatory matters before the U.S. Commodity Futures Trading Commission.

Dorothy D. Mehta is a partner in Cadwalader’s

Financial Services Group and a leader in the firm’s

Investment Management Practice. Dorothy represents investment advisers to hedge funds, private equity funds and managed accounts, commodity pool

operators, commodity trading advisors and family offices. She has extensive experience in the structuring, formation and operation of alternative investments products, including U.S. and non-U.S. hedge funds, private equity funds, hybrid funds, funds-

Dorothy D. Mehta Partner – New York +1 212 504 6846 dorothy.mehta@cwt.com

of-funds and commodity pools (both privately- and publicly-offered), and the establishment of separately managed account arrangements. Dorothy is moderating the Forum’s panel discussion on “Manager Infrastructure: A Key Element in the Selection Process” on Thursday, December 13, 2018.

Cadwalader, Wickersham & Taft LLP www.cadwalader.com

11


Robert DeMuria Vice President

Joseph Mazza    President 

Compliance  Supervisors  International  Inc.’s  (“CSI”)  mission  is  to  provide  unparalleled  service  to  Commodity Futures Trading Commission registrants and National Futures Association (“NFA”) Members.   CSI is widely known as the premier provider of compliance consulting services in the futures industry.      CSI’s  principals,  Joseph  Mazza  and  Robert  DeMuria,  both  former  NFA  Compliance  Auditors  have  been  providing a wide variety of firms in the futures industry with superior service since 1994.  Every client  relationship is viewed like a partnership.  Your success in the futures industry is hinged upon having the  right compliance team on your side.      CSI offers a wide range of services including:      On‐site compliance and financial inspections for FCMs, RFEDs, IBs, CPOs, and CTAs that cover rules  and  regulations  governing  their  business  as  well  as  ensuring  a  sound  internal  control  infrastructure exists within the organization;   On‐site  compliance  inspections  for  FCMs  that  have  branch  offices  and  guaranteed  introducing  brokers to ensure compliance with NFA Compliance Rule 2‐9;   Preparation of compliance policies and procedures manuals and ensuring new requirements are  implemented for clients on a timely basis;   Entity  state  incorporations/organizations,  and  CFTC  registration  and  NFA  Membership  applications;   Risk management program annual review for FCMs;   Electronic trading platform audits for RFEDs;   Independent Anti‐Money Laundering Audits for FCMs and IBs;   Anti‐Money‐Laundering and Ethics on‐line training courses (www.training4futures.com);   Disclosure Document preparation and filings with NFA;   CTA performance track records, fee calculations, and assist with quarterly PR filings in EasyFile;   Verification of performance track records;   Monthly financial accounting, net capital computations and assist with semi‐annual 1‐FR filings  with NFA for IBs;   Fund  administration  for  commodity  pools,  related  tax  services  (i.e.  partnership  tax  return  and  Schedule K‐1 preparation for participants), and assist with quarterly PQR filings in EasyFile;   Certified Financial Statement Audits for introducing brokers/commodity pools through a separate  entity.    CSI  takes  pride  in  giving  you  assurance  that  the  personal  assistance  you  receive  comes  from  years  of  training  and  technical  experience.    We  currently  service  some  of  the  largest  Futures  Commission  Merchants in addition to Introducing Brokers, Commodity Pool Operators, Commodity Trading Advisors,  and Forex Dealer Members. 

Compliance Supervisors International, Inc.

Please contact us at (732) 335‐5740 or info@compliancesupervisors.com to discuss your needs.  If you  would like to contact Joseph Mazza directly please email jmazza@compliancesupervisors.com.  If you  would like to contact Robert DeMuria directly please email rdemuria@compliancesupervisors.com.  16 Broad Street, Suite 102  Keyport, NJ 07735 Tel: 732-335-5740  Fax: 732-335-5744  www.compliancesupervisors.com 12


Coquest Inc. Intermediary & Consulting Services Alternative Investment Research

coquest.com Brokerage 路 Alternative Investment Research 路 Asset Allocation 路 Consulting 路 Due Diligence Coquest Inc. is an alternative investment brokerage firm that provides research, personalized portfolio advice and investment solutions to institutions, wealth advisors, family offices and individual investors focusing on managed futures programs. Coquest Trade Services Group also provides consulting & brokerage services to CTAs and CPOs. Please take the opportunity to meet the Coquest representatives attending the CTA Expo: G. Maxwell Eagye, Mike Lock and Jud Riley. For further information, please email tsg@coquest.com or call (972) 330-2210 13


YOUR TRUSTED PARTNER FOR CTA BACK OFFICE SERVICES

LET CTA SERVICES TAKE CARE OF YOUR MANAGED ACCOUNT BACK OFFICE SUPPORT, SO YOU CAN KEEP DOING WHAT YOU DO BEST...

GREAT TRADES

READY TO TAKE YOUR CTA TO THE NEXT LEVEL?

CTA Services

Running a successful CTA in today’s highly regulated marketplace requires a diverse set of skills. In addition to being a great trader, you need to correctly allocate and verify trades, produce accurate performance tables, bill and collect your fees quickly, and avoid compliance problems. Let our experts free your time to concentrate on trading. We’ll save you money, give you peace of mind, and provide the world-class back office your institutional customers and prospects demand. We offer a full range of operational support services to assist you in running your CTA business. Our back office services are powered by DMAXX’s TheBooks software, so you can rest easy knowing that you have the industry’s best software supporting you.

OUR SERVICES • • • • • • • • • • • •

Disclosure documents Trade allocations Trade reconciliation Daily performance reporting Fee calculations and invoices Performance capsules Broker fee sharing schedules Routine NFA filings CTA database updates Policies and procedures Due diligence materials Referrals and consulting

L AUNCH YOUR NEWINCGT A INFORMATION

TO BOOST YO

UR SUCCESS

Request this valuable overview of the CTA industry at www.CTAServicesUS.com

CALL US FOR A FREE CONSULTATION

763 478 6352

www.CTAServicesUS.com 14


Fund Peak

15


Fund / CTA Marketing Solutions Gate 39 Media provides your business with the look, messaging and methodology to reach today’s increasingly sophisticated investor.

Gate 39 Media

From small fund managers and niche brokerage groups, to large fund-of-funds and financial exchanges—our marketing solutions are based on years of experience working with firms like yours.

CARNEGIE

Forex Alpha Strate

April 2

CAPITAL MANAGEMENT

Partnership Profile

Carnegie Capital Management is a Commodity Trading Advisor (CTA) offering the Forex Alpha strategy, a proprietary co puter algorithm utilizing technical analysis tools combined together in a proprietary sequence and combination to determ short term price trends among four chosen Foreign Currency (FOREX) pairs.

Let us provide you with the design, technology and marketing experience to bring success to your business.

Monthly Performance Mar

Apr

2018

1.34

5.32

3.10

-1.30

2017

1.83

Jan

-2.38

Feb

-0.54

2.34

May

Jun

Jul

Aug

Sep

Oct

Nov

Dec

YT 8.6

0.06

3.46

1.11

5.13

0.46

-1.51

4.10

2.38

17.

-4.72

2016

1.47

3.59

2.18

-2.76

0.58

3.12

2.76

2.89

2015

-1.44

0.11

-0.57

4.92

-1.11

5.39

1.89

-3.60

2014

3.46

16.

4.86

3.84

1.67

5.59

23.

3.04

8.10

2.58

-6.72

1.01

3.71

7.7

Investment Terms

Last 12 Month Returns Apex Fund

S&P 500

2%

Management Fee Incentive Fee

20%

Investment Structure

Managed Acco

Eligibility

Qualified Elig Participants O

AUM

$2,617,087

Minimum Investment

Our custom marketing solutions include: 

May

Jun

Jul

Aug

Statistics

Pitchbook/Presentation

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Forex Alpha Strategy

S&P 500

Contact Information

Total Return

97.98%

71.10%

Carnegie Capital Management

Average Gain

2.95%

2.89%

Average Loss

-2.42%

-2.55%

Max Monthly Gain

8.10%

10.77%

Worst Monthly Loss

-6.72%

-7.18%

Max Drawdown

6.72%

7.18%

Website development Logo design and branding

Annualized Standard Deviation

10.32%

11.25%

Sortino Ratio (0%) Annualized

3.57%

2.40%

1.87%

1.37%

Tear sheets

CALMAR Ratio

4.51%

4.01%

JOHN ALLEN BUSINESS DEVELOPMENT

Sharpe Ratio (0%) Annualized 245 State Street. Suite 867 Chicago, IL 53090

$250,000

Apr

Thomas Carnegie Managing Partner 10 Millenium Park Road Chicago, Illinois (112) 223-3445 info@carnegiecm.com www.carnegiecm.com

The risk of loss in commodity interest trading can be substantial. You should, therefore, carefully consider whether such trading is suitable for you in light of you 973-580-4814 financial condition. Thehigh degree of leverage that is often obtainable in commodity interest trading can work against you as well as for you. All investments in johnallen@caranagie.com commodity interest market should be madewith risk capital only. Investors should never invest more than they can comfortably afford to lose. As with all trading www.carnagie.com strategies, past performance is not necessarily indicative of futureresults. Therefore carefully consider whether such trading is suitable for you in light of your financial condition.

Download our Hedge Fund Marketing eBook! Over 25 pages of insight, tips, and best practices to help raise your fund’s profile and AUM. https: //www.gate39media.com/FundMarketing2019

31 2 . 7 1 5 . 1 4 7 5

|

SA L ES @ GATE 3 9 ME DIA .CO M 16

|

W W W.GATE 3 9 ME DIA .CO M


Global Elements Consulting

17


Hedge Fund Alert BEHIND THE SCENES Hedge Fund Alert, the weekly newsletter that gives you an inside look at trendsetters in the fund-management business. www.HFAlert.com

18


HedgeFacts

19


MICHAEL COGLIANESE CPA, P.C.

630.351.8942

ALTERNATIVE INVESTMENT ACCOUNTANTS 

Expertly navigating

YOUR AUDIT, TAX, AND COMPLIANCE JOURNEY.

Michael Coglianese CPA, P.C. AUDIT • TAX • COMPLIANCE • REGISTRATION • ACCOUNTING • CRYPTOCURRENCY

Over 30 years ago, Michael Coglianese CPA, P.C. was formed by a prior NFA Compliance Auditor. Our

boutique CPA team has provided exceptional value through fund audit, tax, and compliance services for the securities, futures, hedge fund, and cryptocurrency industries. Our goal is to be your strategic partner by navigating you through the ever-changing regulatory requirements and risks. As expert alternative investment accountants, you will receive responsive cost sensitive help that is a perfect partner for small firms and start-ups.

REGISTRATION

COMPLIANCE AND CONSULTING

ANNUAL AML & ETHICS AUDITS

AUDITING & ACCOUNTING

TAX PREPARATION

DISCLOSURE DOCUMENT ASSISTANCE

ATTORNEY ASSISTANCE

For a free consultation, contact us: mike@cogcpa.com | 630.351.8942 Bloomingdale Office 125 E. Lake Street, Suite 303 Bloomingdale, IL 60108 Chicago Office 300 N. State Street, Suite 5720 Chicago, IL 60654

WWW.COGCPA.COM 20


accurate professional reporting service

No wonder that each week, Opalesque publications are read by more than 600,000 industry professionals in over 160 countries. Opalesque is the only daily hedge fund publisher which is actually read by the elite managers themselves

Opalesque

Alternative Market Briefing is a daily newsletter on the global hedge fund industry, highly praised for its completeness and timely delivery of the most important daily news for professionals dealing with hedge funds. A SQUARE is the first web publication, globally, that is dedicated exclusively to alternative investments with "research that reveals" approach, fast facts and investment oriented analysis. Technical Research Briefing delivers a global perspective / overview on all major markets, including equity indices, fixed Income, currencies, and commodities. Sovereign Wealth Funds Briefing offers a quick and complete overview on the actions and issues relating to Sovereign Wealth Funds, who rank now amongst the most important and observed participants in the international capital markets.

Opalesque Islamic Finance Briefing delivers a quick and complete overview on growth, opportunities, products and approaches to Islamic Finance.

Commodities Briefing is a free, daily publication covering the global commodity-related news and research in 26 detailed categories.

Opalesque Futures Intelligence, a new bi-weekly research publication, covers the managed futures community, including commodity trading advisers, fund managers, brokerages and investors in managed futures pools, meeting needs which currently are not served by other publications.

The daily Real Estate Briefings offer a quick and complete oversight on real estate, important news related to that sector as well as commentaries and research in 28 detailed categories.

Opalesque Islamic Finance Intelligence offers extensive research, analysis and commentary aimed at providing clarity and transparency on the various aspects of Shariah complaint investments. This new, free monthly publication offers priceless intelligence and arrives at a time when Islamic finance is facing uncharted territory.

The Opalesque Roundtable Series unites some of the leading hedge fund managers and their investors from specific global hedge fund centers, sharing unique insights on the specific idiosyncrasies and developments as well as issues and advantages of their jurisdiction.

www.opalesque.com 21


profit-loss.com Unique, global coverage of both the buy and sell sides of FX

Profit & Loss

Subscribe at https://www.profit-loss.com/plans/ for unrestricted access to our premium content, including a 20 year archive and quarterly issues of Profit & Loss Magazine. Or register for free to access up to 10 articles per month and view our event programs in full. facebook.com/profitandloss

Profit & Loss Forex Network 22

@Profit_and_Loss


RCM

For Managers

Alternat ves

RCM Alternatives

ABOUT RCM

BEST PRACTICES

AWARD WINNING

RCM is a boutique investment firm bridging the gap between Fintech and HighTouch, merging new technology with industry veterans to help trading firms reach their full potential in terms of alpha generation, capital raising, and operational efficiency.

Our execution algorithms and transaction cost analysis (TCA) tools allow leading traders and portfolio managers to quantify and reduce the variable costs created by an ever-changing market.

Thanks for noticing! A panel of CTAs has voted RCM as the Best Introducing Broker in CTA Intelligence Magazine’s annual US Service Awards 6 consecutive years, 2014, 2015, 2016, 2017, 2018 and 2019.

How We Work We work with asset managers of all sizes to streamline their operations and grow their assets under management by providing the analytics, knowledge, introductions, and above all – the people – to solve the challenges they face in growing their businesses. STRATEGIC CAP INTRO

EXECUTION ALGOS

RCM learns unique manager factors on one side and specific needs on the investor side, resulting in targeted pitches meeting specific investor mandates.

Algos tuned per product and built on high speed, robust technology stacks, with a deep understanding of market microstructure.

FUND OUTSOURCING

MULTI-FCM CLEARING Our team simplifies clearing, syncing your needs with the abilities of multiple FCMs to create a custom, cost effective solution with a single point of contact at RCM to manage it all.

Remove the costs and complexity of starting up or running a fund, while keeping the benefits of being the manager. Do what you do best…trade. Leave the rest up to us.

Trading futures, options on futures, retail off-exchange foreign currency transactions (“Forex”), investing in managed futures and other alternative investments are complex and carry a risk of substantial losses. As such, they are not suitable for all investors. Past performance is not necessarily indicative of future results. RCM Alternatives is a registered dba of Reliance Capital Markets II LLC. Copyright © 2018

2014-2019

RCM Alternatives • 318 W Adams St. 10th FL Chicago, IL 60606 • 855-726-0060 • invest@rcmam.com • rcmalternatives.com 23


Emerging Manager Services at R.J. O’Brien Since our inception more than 100 years ago, R.J. O’Brien has consistently provided tailored solutions and an unparalleled level of expertise to investment managers both large and small. The longevity and breadth of RJO’s contributions to the space are testament to the focus we place on our customers and the mutually beneficial relationships we seek to build.

R.J. O’Brien

START UP SUPPORT

CLEARING

Our CTA partnerships begin with a thorough investigation of not only the trading program itself, but an analysis of marketing material, service providers and all operational elements that will impact company growth. The mission is to grow with our client relationships.

Our CTAs and their clients experience industry leading account access, analytic tools and live support vital to their success. Our highly competitive clearing rates reinforce the notion of partnership with CTAs and their clients.

CAPITAL INTRODUCTION

EXECUTION

Our positioning in the emerging CTA space allows us to regularly present exciting new product- often prior to its general release to the public. We are not limited by mandates regarding AUM or length of track record. We have a proven track record of seeding emerging CTAs with numerous references to share.

Our extensive experience enables our team to match traders with the most appropriate implementation of their programs. Our goal is to provide our partners with unconstrained, dependable market access to global markets, along with the analytic tools and support required to best implement trading ideas.

Futures trading involves the substantial risk of loss and is not suitable for all investors. Past performance is not indicative of future results. © Copyright 2019 R.J. O’Brien & Associates, LLC

CONTACT US Todd Fulton Senior Vice President, Capital Introduction tfulton@rjobrien.com 312-373-4887 24


Power Boost Your CTA Research For Only $55 A Year! Stark & Company Managed Futures Research Solutions

Stark & Company

Under $5 a Month for Access to 600 CTA Profiles AND Our Custom Portfolio Builder! For Only $89 a Year We’ll Include 300 Funds! The STARK CTA Database: Customizable Home Page with Watch Lists, Peer Groups, and Favorite Trading Managers. Proprietary CTA Sector Indices. CTA Rankings & Time Window Analysis. Access to CTA Program & Fund Profiles. Detailed Analytics and Research Drill-Downs. Printable 2-Page Profile Summary Reports. Detailed Manager & Peer Group Analysis. Powerful Search Capabilities Based on a Variety of Qualitative and Quantitative Data. Robust Portfolio Builder with Detailed Analytical Comparisons, Portfolio Simulations and Dynamic Correlation Matrices.

Stark & Company is one of the oldest and most established research and investment consulting firms in the managed futures industry. 33 years of CTA research is stored in our online application at our web site StarkResearch.com. There we provide investors and industry professionals with detailed performance information and analysis on nearly 900 managed futures programs, foreign exchange programs, and futures funds worldwide. Each month we publish a series of CTA and Fund Indices including the STARK 300 Index, an index comprised of the top performing 300 CTAs in the STARK CTA Database based on our proprietary Star Rating System (SRS), as well as two Fund Indices and eight CTA Sector Indices. Subscribe Today by Calling (619) 702 1230!

Stark & Company Managed Futures Research

Stark & Company | 4944 Cass Street | #410 | San Diego CA | 92109 | Tel: 619.702.1230 | www.starkresearch.com


Compliance Simplified

Strategic Compliance Solutions, LLC At Strategic Compliance Solutions,™ we know that compliance doesn’t have to be painful.

Let us put our 20 years of experience navigating the complexities of CFTC, NFA and SEC regulations to work for you. We stay abreast of current regulations so that we can help our clients understand the impact of today’s complex regulatory requirements on their firms. We offer no-nonsense, practical solutions tailored to the needs of U.S. and nonU.S. firms of all sizes and asset levels. Our goal is to help our clients become compliant as effortlessly as possible, allowing them to focus on managing client assets and growing their businesses.

Compliance Services

Our Clients

• Developing Policies & Procedures • Compliance Reviews & Mock Audits

• Commodity Trading Advisors • Commodity Pool Operators

• Ongoing Support • Registrations • Training

• • • •

Registered Investment Advisors Hedge Funds Funds of Funds Introducing Brokers

STRATEGIC COMPLIANCE SOLUTIONS, LLC 2025 Highway 191, Danielsville, GA, 30633 (706)795-3484 Info@StrategicComplianceSolutions.com www.StrategicComplianceSolutions.com 26


Striker Zone

Striker Securities, Inc Where Investors Study Strategies... Because of Striker’s unique no-conflict structure, our dedicated professionals are free to focus exclusively on customer service, including unbiased system consulting, dedicated trade execution, and personalized risk and reward solutions, along with rigorous quantitative analysis. We publish actual trading system results daily and market system developers.

Updated Daily | Striker.com There is risk of loss in trading. Past performance is no guarantee of future results.

Striker Securities, Inc.

940 Industrial Dr., Elmhurst, IL 60126 27

p: 312.987.0043 / 800.669.8838


Weaver’s Alternative Investment Practice We serve more than 700 hedge, private equity, venture and real estate funds controlling billions of invested capital. Our industry-dedicated professionals offer decades of experience serving the alternative investment community. The Value of Our Practice: We combine the expertise of a big four firm with the cost effectiveness and personalized level of service you value from a regional firm. Weaver has the resources dedicated to serving the alternative investment community. We help our clients create value, manage risk and seize growth opportunities. Whether by leveraging the firm’s extensive network or by providing thought leadership, we seek avenues to give our clients a competitive edge and assist in their success.

Weaver

Understanding Our Clients’ Needs: We realize the critical nature of being responsive as well as providing an efficient process and a quality work product. Weaver is dedicated to helping our clients realize significant value from each engagement, customizing our scope and approach to meet the specific needs of each company we work with.

Alternative Investment Service Offerings

+

+ FUND MANAGEMENT Wealth Strategies Tax Structuring International, Federal & State Tax Compliance Personal Tax Planning & Compliance

Audit Tax IPO Readiness Business Process Improvement Dispute Advisory Valuation

Alternative Investment Companies Hedge Funds Funds of Funds Real Estate Funds Private Equity Funds Venture Funds

+ FUND LEVEL

Audit Tax Structuring Tax Compliance Advisory & Strategic Consulting

Our Geographic Reach: We have a strong presence across the country, with offices in Texas, California and New York. With 750+ employees and 100+ partners, Weaver has the resources to analyze complex situations and deliver timely, proactive advice and solutions. For more information contact: Ronald L. Honka, Sr., CPA, CGMA Partner 212.405.2455 ron.honka@weaver.con

28


Frank Pusateri frank@ctaexpo.net 518-656-9348

Bucky Isaacson bucky@ctaexpo.net 650-851-8507

CTAEXPO, LLC PO Box 147, Cleverdale, NY 12820 www.CTAExpo.net ©2019 CTAEXPO

Profile for CTAExpo, LLC

CTAExpo/Emerging Manager Forum Chicago 2019 Service Provider Directory  

CTAExpo/Emerging Manager Forum Chicago 2019 Service Provider Directory  

Profile for ctaexpo