ABBEY CAPITAL LIMITED
Abbey Capital, based in Dublin, Ireland, is an alternative investment fund manager providing multimanager funds in the managed futures, foreign exchange and global macro sectors of the hedge fund industry with cash assets of in excess of $3.3 billion (as of May 31, 2017). Current offerings include private placement funds, a U.S. mutual fund and customized solutions. Visit us at www.abbeycapital.com.
AdvisorRoadmap Virtual Training for Financial Advisors is a web-based virtual training platform unlike anything in the industry. You will experience a self-guided online virtual training platform packed with interactive training courses, videos, scripts, demonstrations and high-value resources to help you master the communication skills and repeatable processes that are crucial to acquiring and serving ideal clients. Visit us at www.youradvisorroadmap.com.
ALPS PORTFOLIO SOLUTIONS
ALPS Portfolio Solutions is a pioneer in developing new products and strategies, which, by design, complement existing holdings to optimize portfolio returns. Our expertise and our strategic alliances with best in class partners allow us to deliver a comprehensive suite of products to help advisors and investors build better portfolios. Visit us at www.alpsfunds.com.
AMERICAN BEACON ADVISORS INC.
Established in 1986, American Beacon Advisors Inc. manages the American Beacon Funds—a series of competitively priced mutual funds that include domestic and international equity, alternative, fixed-income and money market portfolios. As of September 30, 2015, American Beacon had $56.1 billion in assets under management. For more information, visit www.americanbeaconfunds.com.
AMERICAN CENTURY INVESTMENTS
American Century Investments is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Delivering investment results to clients enables the firm to distribute over 40 percent of its dividends to the Stowers Institute for Medical Research, totaling nearly $1.3 billion since 2000. Visit us at www.americancentury.com.
Appleseed Funds’ strategies employ a go-anywhere value approach that integrates environmental, social and governance (ESG) into its stock selection process. We seek to generate market-beating returns over the long term by making prudent, disciplined and sustainable investments in a range of asset classes from markets around the world. Visit us at www.appleseedcapital.com.
ARBITRAGE FUNDS—ADVISED BY WATER ISLAND CAPITAL
Founded in 2000, Water Island Capital, advisor to The Arbitrage Funds, is an independent, employee-owned firm managing over $3 billion in assets across event-driven strategies. Since inception, our focus remains on providing low-volatility investments prioritizing capital preservation and low correlation compared to fixed income and equity markets. Visit us at www.arbitragefunds.com.
Arrow Funds, including the exchange-traded product line ArrowShares, is a company that believes in offering targeted portfolio solutions for ever-changing markets. Our vision is to be recognized as the leading provider of alternative and tactical investment solutions with education, research and client service as the cornerstones of our business. Visit us at www.arrowfunds.com.
BALTER LIQUID ALTERNATIVES LLC
Balter Liquid Alternatives provides institutional hedge fund solutions within '40 Act mutual funds (liquid alternatives) as they were meant to be—at the intersection of LP vehicles (traditional alternatives) and mutual funds. Our roots are a deep research and due diligence boutique, which allows us to partner on an exclusive basis with experienced hedge fund managers across all asset classes. Visit us at www.balterliquidalts.com.
THE CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION
The Chartered Alternative Investment Analyst (CAIA) Association is the world leader in alternative investment education. CAIA programs include the CAIA Charter and the Fundamentals of Alternative Investments Certificate Program. For more information, please visit CAIA.org.
Cognios Capital is an employee-owned institutional investment firm that offers traditional long- only and alternative investment strategies in several product structures. As the architect of all of our investment strategies, we blend a sophisticated quantitative infrastructure with a common sense fundamental investment philosophy. Visit us at www.cognioscapital.com.
COLLEGE FOR FINANCIAL PLANNING
The leading institution focused on meeting the education needs of financial services professionals, the College for Financial Planning created the Certified Financial Planner (CFP) certification and has trained over 135,000 professionals. Flexible instructor-led/web-delivered classes featuring eBooks and interactive quizzes bring the classroom to your home or office. Visit us at www.cffp.edu.
Evolving with investors, Equinox believes managed futures are the single most powerful diversifier for a portfolio of stocks and bonds. Building on that principle—our mission is simple—to bring the potential benefits of alternatives to individuals and institutions through a diverse set of investment strategies designed to meet the unique goals of each investor. Visit us at www.equinoxfunds.com.
EQUITY TRUST COMPANY
Equity Trust Company is one of the largest custodians of alternative assets with the goal of making alternative investing easy so that your clients can achieve the diversification they are seeking. Equity Institutional and Equity Advisor Solutions service institutional clients of Equity Trust Company including RIAs, broker-dealers and investment sponsors. Visit us at www.trustetc.com.
EVANSTON CAPITAL MANAGEMENT LLC
Evanston Capital Management LLC (ECM) is an alternative investment management firm focused on providing multi-manager hedge fund programs for institutional and high-net-worth investors. Formed in 2002, ECM manages a variety of strategies emphasizing more concentrated portfolios, and ECM seeks to identify portfolio managers in which ECM has gained high conviction. Visit us at www.evanstoncap.com.
With competitive pressures mounting throughout the advisory industry, it has never been more important to differentiate yourself and the services you offer. FieldView Technologies enables objective advice providers to more effectively engage with clients and prospective clients through a set of technologically advanced tools. Built by advisors for advisors, FieldView Technologies will help you reinvent your practice. Visit us at www.ReinventYourPractice.com.
First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively First Trust) were established with a mission to offer investors a better way to invest. At First Trust, we provide trusted investment products and advisory services. We're inspired every day by how financial advisors and their customers use our products and services to define goals, solve problems and develop long-term strategies. Visit us at www.ftportfolios.com.
FIVE STATES ENERGY CAPITAL LLC
Founded in 1985, Five States Energy is a private equity investor in long-life, onshore, domestic producing oil and gas assets for current income. Investments are in the $5 million to $50 million range, located primarily in Texas/New Mexico and the U.S. Midcontinent. Funds are current return oriented. Visit us at www.fivestates.com.
FlexShares leverages research and investment expertise across disciplines to offer new, insightful solutions designed to address actual investor goals. Each strategy is purposefully matched with a core investment objective: growing assets, managing risk, generating income and managing liquidity. For more information, please visit www.flexshares.com.
Folio Institutional provides custody and brokerage services to financial professionals and institutions nationwide, servicing billions of dollars in assets. Their patented online brokerage and investing solutions enable advisors to manage thousands of client accounts, implement diversified investment strategies, manage tax liabilities and fully integrate billing, performance reporting and other services. Visit us at www.folioinstitutional.com.
THE GEMINI COMPANIES
The Gemini Companies have over 30 years of experience in providing comprehensive pooled investment solutions to independent advisors and the investment community. Our services include helping clients bring their own investment vehicles to market and providing full-servicing of mutual funds, hedge funds, exchange-traded funds and other pooled investment products, including distribution services. Visit us at www.thegeminicompanies.com.
Gotham is a long/short equity asset manager managed by Joel Greenblatt and Robert Goldstein (50+ years combined hedge fund experience). Gotham offers diversified long/short equity hedge funds and mutual funds that share the same investment philosophy, process and research. Visit us at www.gothamfunds.com.
INFINITY Q CAPITAL MANAGEMENT
Infinity Q Capital Management is a pioneering hedge fund managed by David Bonderman’s family office. The firm manages volatility arbitrage, global macro and equity L/S strategies for institutional and retail investors. Infinity Q uses a “quantamental” approach combining the depth of private equity with the breadth of quantitative research. Visit us at www.infinityq.com.
JOHN HANCOCK INVESTMENTS
John Hancock Investments provides asset management services to individuals and institutions through a unique manager-of-managers approach. We combine unbiased asset management with vigorous investment oversight to offer investors a deeper level of diversification and proven results across asset classes. Visit us at www.jhinvestments.com.
Kellner Capital is a 30+ year-old alternative investment manager. The firm was founded by George Kellner in 1981 as a merger arbitrage hedge fund, and today remains one of Wall Street's most seasoned alternative investment managers. We pursue a global, opportunistic investment mandate focused on event-driven opportunities in both single and multi-strategy portfolios. Visit us at www.kellnerfunds.com.
Founded in 1987, Litman Gregory is a San Francisco Bay Area firm that manages assets for high-net-worth individuals, institutions and other advisors using strategies that draw on its global tactical asset allocation expertise and in-depth manager due diligence. The firm also advises a family of no-load mutual funds, including a fully liquid, multi-strategy alternatives fund. Visit us at www.litmangregory.com.
LJM FUNDS MANAGEMENT
LJM Funds Management is an alternative investment management firm specializing in volatility strategies. For almost 20 years, LJM’s investment management team has been managing portfolios of options on S&P 500 futures that seek to profit from market volatility. Volatility strategies are uncorrelated to equities and fixed income investments, and can add diversification to a traditional portfolio. Visit us at www.ljmfunds.com.
LMCG Funds’ advisor is LMCG Investments LLC (LMCG), a $7.6 billion multi-strategy boutique investment firm. The leadership has a history of working together and provided trading, settlement and operational expertise for strategies invested in over 40 countries for long-only, alternatives, fixed-income and equity-based strategies. Visit us at www.lmcgfunds.com.
Mercury iFunds platform is a complete, end-to-end solution offering institutions, wealth advisors, family offices, RIAs and other sophisticated authorized investors, exclusive access to our proprietary suite of curated, leading-edge alternative investments. The firm has more than 600 years of collective distribution and origination experience, and includes senior professionals from investment banking, mergers and acquisitions, high yield and consulting disciplines. Visit is at www.mercurycapitaladvisors.com.
Money360, Inc. is a marketplace lending platform for commercial real estate loans. Money360 caters to institutional and accredited retail investors, providing direct access to attractive fixed income investments secured with a first-priority lien against income-producing commercial real estate. Money360 also operates an investment management company, M360 Advisors LLC, which manages diversified fund vehicles on behalf of institutional and accredited retail investors. Visit us at www.money360.com.
Monroe Capital is a widely recognized leader in middle market private credit with approximately $4.1 billion of assets under management (as of 3/31/17). Our firm specializes in unitranche financings, senior and junior debt, equity co-investments, cash flow and enterprise value-based loans, asset-based loans, acquisition facilities, mezzanine debt, second lien and last-out loans to middle-market companies throughout the United States and Canada. Visit us at www.monroecap.com.
NORTHSTAR SECURITIES LLC
NorthStar Securities LLC is the broker-dealer affiliate of Colony NorthStar Inc., a leading global real estate and investment management firm. NorthStar Securities is a distributor of market-leading investment programs designed to create value for retail investors and provides access to institutionally managed alternative investment opportunities. For more information, visit www.NorthStarSecurities.com.
THE OPTIONS INDUSTRY COUNCIL
The Options Industry Council (OIC) was created as an industry cooperative to provide education about the benefits and risks of exchange-listed equity options. Options are a versatile yet complex product, and that is why OIC hosts options seminars, videos and podcasts, distributes educational literature, maintains a website, and offers live help from options professionals-all focused on options education. Visit us at www.optionseducation.org.
At Parnassus Investments, we invest responsibly to build wealth for our clients. We select businesses that we believe have increasingly relevant products or services, sustainable competitive advantages and quality management teams for our high conviction portfolios. Every investment we make must meet rigorous fundamental and environmental, social and governance criteria. Visit us at www.parnassus.com.
PROBABILITIES FUND MANAGEMENT LLC
Probabilities Fund Management LLC is an independent registered investment advisor based in San Diego, Calif. The firm serves as portfolio manager for the Probabilities Fund and the Probabilities VIT Fund. Offering daily liquidity and transparency, these open-ended 40-Act mutual funds are invested in the firm’s proprietary ETF-Based Tactical Long/Short US Equity strategy that seeks to generate uncorrelated alpha vis-a-vis the S&P 500. Visit us at www.ProbabilitiesFundManagement.com.
PROSPECT CAPITAL CORPORATION
Prospect Capital Corporation is a financial services company that primarily lends to and invests in private middle market companies with annual EBITDA typically between $5 and $150 million. Prospect’s investment objective is to generate both current income and long-term capital appreciation through debt and equity investments. Visit us at www.prospectstreet.com.
SAGE ADVISORY SERVICES
Sage is an independent investment management firm headquartered in Austin, Texas, that serves the institutional and private client marketplace with traditional fixed-income asset management, global tactical ETF strategies and liability-driven investment solutions. As of September 2017, Sage manages and advises over $12 billion in client assets. For more information, please visit www.sageadvisory.com.
Saturna Capital, manager of Saturna Sustainable, Amana and Sextant Funds, uses years of experience to help individuals and institutions build wealth, earn income and preserve capital. The Saturna Sustainable Funds seek to invest in issuers demonstrating sustainable characteristics with low risks in areas of the environment, social responsibility and governance (ESG). Visit us at www.saturna.com.
SIERRA MUTUAL FUNDS
Sierra Mutual Funds is a boutique/emerging manager who designed an investment process in 1987 that has proven that risk management is a process, not a product. For nearly 30 years, this process has delivered low volatility and capital preservation for those clients who want to avoid unrecoverable losses. Visit us at www.sierramutualfunds.com.
SPROTT ASSET MANAGEMENT
SPROTT Asset Management is an alternative asset manager focused on precious metals and real assets. With a history going back to 1981, the company offers a suite of innovative exchange-listed funds as well as active strategies in both public and private markets. Visit us at www.sprott.com.
TD AMERITRADE INSTITUTIONAL
TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to more than 5,000 fee-based, independent registered investment advisors and their clients. Our advanced technology platform and outstanding personal support allows advisors to run their businesses more efficiently and optimize time spent with clients. Visit us at www.tdameritrade.com.
TEUCRIUM TRADING LLC
Teucrium Trading LLC (Teucrium) is an issuer of agriculturally focused single-commodity exchange-traded products (ETPs). Teucrium ETPs offer both liquidity and transparency in single-commodity products to investors. The Teucrium team, with its substantial experience in commodity futures trading, provides investors with unleveraged ETPs in the equity format on the NYSE Arca. Visit us at www.teucrium.com.
TRILINC GLOBAL LLC
Teucrium Trading LLC (Teucrium) is an issuer of agriculturally focused single-commodity exchange-traded products (ETPs). TriLinc Global LLC is a leading sponsor of global impact investment funds. In 2013, TriLinc launched its flagship offering, the TriLinc Global Impact Fund LLC (TGIF), which is currently over $300 million in AUM. With TGIF’s successful four-year track record, TriLinc has begun to launch private funds serving institutional investors, family offices, and registered investment advisors. Visit us at www.trilincglobalimpactfund.com.
USCF operates on the leading edge of exchange-traded product (ETP) innovation. The firm broke new ground with the launch of the first oil ETP, the United States Oil Fund (USO), in 2006. Over the next decade, USCF designed and issued twelve more specialty ETPs across commodity and equity asset classes. Visit us at www.uscfinvestments.com.
VIRTUS REAL ESTATE CAPITAL
Virtus Real Estate, founded in 2003, brings thoughtful stewardship to the practice of real estate investment by delivering non-correlated alpha via cycle-resilient real estate. Over the last 14 years, Virtus has acquired 200 properties for a combined acquisition value of over $3.2 billion, and fully realized 157 property investments. Visit us at www.virtusre.com.
VIVALDI ASSET MANAGEMENT LLC
Vivaldi Asset Management LLC is an investment specialist that provides alternative investment solutions for financial advisors and their clients. We strive to: protect investor capital, compound steady returns and minimize downside risk. We pride ourselves on our ability to combine rigorous research and risk management processes with disciplined portfolio construction. Visit us at www.vivaldifunds.com.
VOYA INVESTMENT MANAGEMENT
Voya Investment Management (Voya IM) is a leading active asset management firm. As of September 30, 2016, Voya IM manages approximately $221 billion for affiliated and external institutions as well as individual investors. Drawing on over 40 years of experience and an ongoing commitment to reliable investing, Voya IM has the resources and expertise to help long-term investors achieve strong investment results. Visit us at www.investments.voya.com.
WELLS FARGO FUNDS
Wells Fargo Funds guides institutions, financial advisors and individuals through the investment terrain to help them reach their financial objectives. The expertise of our independent investment teams, our rigorous investment review and superior service is our trademark. Everything we do on behalf of investors is backed by our unique combination of qualifications. Visit us at www.wellsfargofunds.com.
WESTCHESTER CAPITAL MANAGEMENT
Westchester Capital Management (WCM) is a registered investment advisor specializing in liquid alternative investment strategies. We manage a variety of investment portfolios using a combination of strategies to invest in publicly announced event opportunities, such as mergers, acquisitions, takeovers, spin-offs and other corporate reorganizations, with the goal of profiting from the timely completion of these transactions. Visit us at www.westchestercapitalfunds.com.
Wintergreen Fund (WGRNX and WGRIX) is a no-load, global value fund. Established in 2005 by Liz Cohernour and David Winters, Wintergreen focuses on investing in quality companies, not synthetic, highly engineered investment products. Wintergreen actively stands up for shareholders rights. Visit www.wintergreenfund.com for more information.