FA Alts 2014
Alts 2014


 2013 Sponsors / Exhibitors

 Innovative Alternative Strategies Conference Sponsors/Exhibitors

 


Platinum Sponsor


Realty Capital Realty Capital Securities (“RCS”), member FINRA/SIPC, and a subsidiary of American Realty Capital, is a purpose-built open architecture wholesale broker dealer focused exclusively on the distribution of public and private direct investment programs.  The products offered on RCS’ platform target specific real estate sectors with varying investment strategies and have been expanded to now include a non-traded business development company.  RCS’ sales, operations, compliance and executive management teams provide expertise in investment program distribution as well as marketing and educational initiatives designed for the broker dealer community.  To learn more about the RCS organization please call the company at 877-373-2522.

Sponsors and Exhibitors


AdvisorShares AdvisorShares is one of the leading providers of actively managed ETFs.  As of 5/01/2013, AdvisorShares offers 18 active ETFs with approximately $830,000,000 of assets under management. AdvisorShares provides educational support to help investors understand ETFs, and the underlying investment strategy for each of the AdvisorShares ETFs.  AdvisorShares continues to seek qualified sub-advisor investment partners to offer compelling investment strategies in an active ETF structure. Visit our website at www.advisorshares.com to learn more about us. Follow the AdvisorShares Team on Twitter or ‘Like’ us on Facebook.

ALPS Portfolio Solutions ALPS offers innovative portfolio solutions that help Financial Advisors and Institutional Investors build better portfolios. We specialize in Satellite and Alternative asset classes focusing on MLPs, Commodities, Private Equity, High Dividend Stocks, Global Real Estate, Sectors and Emerging Markets. Our exposure to these asset classes are achieved primarily through ETFs and open-end funds so that we can provide access that is registered, liquid and fully transparent. We strive to deliver portfolio solutions that allow investors to diversify their core holdings, obtain exposure to attractive investment themes and ultimately build better portfolios.  For more information please visit: www.alpsfunds.com

AmeriFunds Since its founding in 2002, AmeriFunds Diversified Funding has been an industry leader in the purchase of discounted notes and mortgages nationwide. Buying only first lien position, performing notes, the Funds have consistently delivered strong results with high levels of protective equity for their investors.

APMEX APMEX is one of the nation’s largest Precious Metal retailers offering transparent buy/sell pricing coupled with 24/7 web access and knowledgeable telephone assistance.
With more than 5,000 different Gold, Silver, Platinum and Palladium products, APMEX can meet your diversification plan with the proper mix of price, liquidity and portability, including products suitable for IRAs.
Your clients also have the option to take physical delivery or store in a secure, private facility via a wholly owned subsidiary of APMEX (www.cgdsi.com). All storage is managed by BRINK’s and located in a high-security BRINK’S facility.
Please call APMEX at 800-375-9006 for additional information.

Arrow Funds Arrow Funds, including the exchange traded product line ArrowShares, is a mutual fund company with a passion and energy for helping investors meet their financial goals. We believe in offering targeted portfolio solutions for the ever-changing capital markets. Our vision is to be recognized as the leading provider of alternative and tactical investment solutions for financial intermediaries and their clients. We have assembled a team of investment professionals with a breadth of experience and depth of industry knowledge. Education and research remain the cornerstones of our business, backed by our commitment to the highest level of service.


Aston Asset Aston Asset Management, LP (Aston) based in Chicago, Illinois, provides investment management services to the mutual fund and managed accounts markets by carefully selecting, monitoring, and marketing experienced boutique investment managers using disciplined investment processes and best-in-class business standards. From the initial due diligence on an investment manager to the launching of a new Aston Fund, we take measured steps to ensure congruence between the requirements of Aston, the capabilities of the subadviser, and the needs of investors.  As of March 31, 2013, Aston is the adviser to 23 mutual funds with total net assets of approximately $13 billion.  Our funds are distributed nationally through intermediaries including registered investment advisors, model platforms, broker-dealers, consultants, retirement platforms and wealth management teams.

AthenaInvest AthenaInvest is the industry leader in behavioral portfolio management with a patented behavioral research process built on a deep academic foundation and developed over 35 years of interaction with leading academics and institutional money managers by C. Thomas Howard, PhD, Chief Executive Officer, Chief Investment Officer and Director of Research.  AthenaInvest delivers next generation investment strategies that use persistent and predictive behavioral factors in a rigorous and disciplined investment approach designed to build portfolios that perform. Please visit www.athenainvest.com for additional information.

Baseline Investments LLC Baceline Investments, LLC, headquartered in Denver, Colorado is one of the leading, emerging private equity real estate investment firms in the U.S. dominating a powerful niche in America's mid-sized markets in the Heartland.
Baceline utilizes over 100 years of collective track record from its principals to actively acquire, manage and sell cash flowing necessity-based neighborhood retail and industrial properties, located in the Rocky Mountain, Midwest and Southwestern regions of the United States. Its investment funds and partnerships in cash flowing properties are created to emphasize property performance and alignment with its partners and not financial engineering and high leverage to produce results. It currently is raising capital for its income and growth initiatives.

BlackRock BlackRock is a premier provider of asset management, risk management, and advisory services to institutional, intermediary, and individual clients worldwide. As of March 31, 2013, the firm manages $3.94 trillion across asset classes in separate accounts, mutual funds, alternative investments and the industry-leading iShares® exchange-traded funds. BlackRock serves clients in North and South America, Europe, Asia, Australia, Africa, and the Middle East. Headquartered in New York, the firm maintains offices in 30 countries around the world.

Calamos Calamos Investments is a diversified global investment firm offering innovative investment strategies including equity, fixed income, convertible and alternative investments, among others. The firm offers strategies through separately managed portfolios, mutual funds, closed-end funds, private funds, and UCITS funds. Clients include major corporations, pension funds, endowments, foundations and individuals. Headquartered in the Chicago metropolitan area, the firm also has offices in London and New York.

Chicago Capital Management’s Chicago Capital Management’s merger arbitrage strategy strives to provide its investors with diversified, risk-adjusted absolute returns regardless of the macro-economic environment. Founded in 1998 by Steven Gerbel, the fund has proven to offer low correlation with conventional asset classes during all business cycles.
Chicago Capital Management focuses its investments on publicly announced merger arbitrage situations using a “hedge as much as possible” philosophy. The fund assumes as little risk and volatility as necessary to produce significant alpha. The fund achieves this through in-depth fundamental analysis of every merger transaction, disciplined adherence to trading limits, and continuous risk monitoring of individual positions.

Citi About the Citi Private Investor Products Group and CitiFirst Investments
Among the many innovations the Citi Private Investor Products Group offers to investors are notes, deposits, certificates, OTC derivatives, funds and rules-based investment strategies.
Available across all asset classes, CitiFirst investments are designed to meet specific financial goals, including wealth preservation, income and risk-adjusted yield enhancement. For more information, call us at +1-212-723-7005 or go to www.citifirst.com and www.funds.citi.com.


For all offerings other than deposits:
Investment Products | Not FDIC Insured | May Lose Value | No Bank Guarantee

CNL Securities CNL Securities is an alternative investment solutions provider that has served the broker/dealer community for more than 25 years. By engaging world-renowned investment partners, we have created a distinctive product platform to help you pursue your clients’ financial goals. Offerings span a wide spectrum of return strategies, from income to growth or a blend of the two, and focus on investments in the United States or around the globe. To contact us, call (866) 650-0650 or visit www.CNLSecurities.com. CNL Securities, managing dealer, Member FINRA/SIPC.

CommonWealth Commonwealth Financial Network is the broker/dealer-RIA for client-forward™ advisors—those with a single-minded focus on doing what’s right for their clients. Discover all the ways in which our vision is in sync with yours: Technology that integrates every aspect of your clients’ financial lives into a single holistic view. The advisory services, research, and investment insight to help you make the sound recommendations your clients rely on. And direct access to the support you need at every level, including from our managing partners. Contact us today at commonwealth.com—and keep moving client-forward.

Credit Suisse Credit Suisse AG is one of the world's leading financial services providers and is part of the Credit Suisse group of companies. As an integrated bank, Credit Suisse is able to offer clients its expertise in the areas of private banking, investment banking and asset management from a single source. Credit Suisse provides specialist advisory services, comprehensive solutions and innovative products to companies, institutional clients and high net worth private clients worldwide, and also to retail clients in Switzerland. Credit Suisse is headquartered in Zurich and operates in over 50 countries worldwide. The group employs approximately 47,400 people. The registered shares (CSGN) of Credit Suisse's parent company, Credit Suisse Group AG, are listed in Switzerland and, in the form of American Depositary Shares (CS), in New York. Further information about Credit Suisse can be found at www.credit-suisse.com.

Direxion Direxion has offered alternatives for modern portfolios since 1997. We offer practical investment solutions to today’s market challenges with a broad suite of highly liquid, institutional-style alternative investment strategies. From leveraged ETFs, to next-generation index-based alternative mutual funds, Direxion offers innovative strategies that help investors manage risk-adjusted performance through evolving market conditions.
For long-term individual investors, institutional and active traders, Direxion specializes in providing alternative solutions to deliver broader diversification with efficient access to non-correlated asset classes and strategies, flexibility to position portfolios opportunistically for near- and long-term market trends, and liquid access to strategies that provide exposure to multidirectional opportunities.

Discovery Data Discovery Data offers the only database with a single consolidated view of the financial services industry. The world’s largest, most successful and fastest growing organizations access our database through one or more Web applications, including a state-of-the-art online system, to identify, reach and do business with all RIA and BD firms, 2,300 trust companies, and 2 million professionals encompassing reps, advisors, insurance agents, executives and other key staff. In addition, clients rely on our data hygiene services, data-driven market insight and specialized consulting to understand the industry and keep up with an ever-changing marketplace.

DoubleLine Capital LP is an independent, employee-owned money management firm co-founded in 2009 by Jeffrey Gundlach and Philip Barach, and was named “Fastest Growing Start-Up Company in 25 years”.*  The firm offers a wide array of investment strategies run by an experienced team of portfolio managers that have worked together for over 15 years, employing active risk management, in-depth research, and innovative product solutions.  The firm offers these services under a cardinal mandate: striving to deliver better risk-adjusted returns for its clients.
 
*According to research by Strategic Insight, reported by mutualfundwire.com, May 3, 2011; Investment News, May 5, 2011; Pensions & Investments, May 6, 2011.

EJF Capital LLC EJF Capital LLC (“EJF”) is an independent, employee-owned, SEC-registered investment adviser that manages a diverse group of alternative investment strategies for qualified individuals, institutions, foundations and endowments.  EJF manages more than $3.8 billion (as of 2.1.13) in hedge fund strategies.  The firm was founded in September 2005 by Emanuel J. Friedman, co-founder and former Co-Chairman and Co-CEO of Friedman, Billings Ramsey Group, Inc. (“FBR”, now known as Arlington Asset Investment Corp., NYSE:  AI), and Neal J. Wilson, former Senior Managing Director for the Alternative Asset Investment and Private Wealth Management groups at FBR.  EJF Capital is located outside Washington, DC in Arlington, VA.

Equity International Equity Institutional (formerly Sterling Trust) is a division of Equity Trust Company, and is the industry leader in providing alternative investment custodial services to brokers, advisors and sponsors, with over $12 billion under custodial administration and serving more than 130,000 clients and 10,000 financial professionals.

EverBank EverBank Wealth Management combines decades of global expertise with worldly opportunities typically reserved for institutional investors. Founded on the concept that a diversified portfolio should take advantage of today's integrated economy, we offer broad investment options and customized strategies to help clients meet their financial goals.  There are no hidden agendas. Our simple, asset based fee structures present no incentives to place assets in specific funds.  This keeps our goals-based approach to investing, your life plan, and a view of the world at the forefront. EverBank Wealth Management is an affiliate of EverBank, which has provided innovative financial opportunities and services for over 50 years.

Fund Evaluation Group Fund Evaluation Group, LLC (FEG) provides investment consulting, portfolio management and research services. Established in 1988, the independently-owned firm has approximately $38 billion in total client assets under advisement and over 80 employees (as of 3/31/2013). 
FEG specializes in designing sophisticated, institutional-caliber portfolios. Clients include institutions, such as universities and corporate retirement plans, and financial advisors.
FEG’s research analysts are uniquely tenured for the industry, with the average analyst possessing approximately than 10 years of investment experience. Analysts have been featured by CNBC and the Wall Street Journal.
FEG is headquartered in downtown Cincinnati, and has offices in Detroit and Indianapolis.

Fifth Street Finance Corp Fifth Street Finance Corp. (NASDAQ:FSC) is a leading business development company (BDC) that lends to and invests in established small and mid-sized companies. Named one of the most active lenders in 2012 by Pitchbook Data, we have a national presence, with offices in White Plains, NY, Greenwich, CT, Chicago, IL and Los Angeles, CA. Fifth Street provides custom-tailored financing solutions up to $150 million, which are principally in the form of one-stop, first lien, second lien, and mezzanine debt. We also have the ability to underwrite and syndicate up to $250 million.

Forward Funds The world has changed, leading investors to seek new strategies that better fit an evolving global climate. Forward's investment solutions are built around the outcomes we believe investors need to be pursuing – non-correlated return, investment income, global exposure and diversification. With a propensity for unbounded thinking, we focus especially on developing innovative alternative strategies that may help investors build all-weather portfolios. An independent, privately held firm founded in 1998, Forward (Forward Management, LLC) is the advisor to the Forward Funds. As of March 31, 2013, we manage $6.1 billion in a diverse product set offered to individual investors, financial advisors and institutions.
You should consider the investment objectives, risks, charges and expenses of the Forward Funds carefully before investing. A prospectus with this and other information may be obtained by calling
(800) 999-6809 or by downloading one from www.forwardinvesting.com. It should be read carefully before investing.

RISKS
There are risks involved with investing, including loss of principal. Past performance does not guarantee future results, share prices will fluctuate, and you may have a gain or loss when you redeem shares.
Alternative strategies typically are subject to increased risk and loss of principal. Consequently, investments such as mutual funds which focus on alternative strategies are not suitable for all investors.
Diversification and asset allocation do not assure profit or protect against risk.

Forward Funds are distributed by Forward Securities, LLC.
FWD004622 043014

Franklin Square Franklin Square is a leading manager of alternative investment funds designed to enhance investors’ portfolios by providing access to asset classes, strategies and asset managers that typically have been available to only large institutional investors. The firm’s funds offer “endowment-style” investment strategies that help construct diversified portfolios and manage risk. Franklin Square strives not only to maximize investment returns but also to set the industry standard for best practices by focusing on transparency, investor protection and education for investment professionals and their clients.

F-squared F-Squared Investments, based in Newton, MA, is an SEC-registered investment adviser offering a full range of client-centric investment solutions, based on our AlphaSector™ and Portfolio Replication Technology (PoRT™) investment capabilities.  F-Squared Investments was founded with the mission of redefining how investment solutions can be reliably delivered to investors.  AlphaSector is the industry’s leading suite of full-market investment solutions, offering both long-only and leveraged strategies.  
For more information about F-Squared, visit our website at: www.f-squaredinvestments.com

Guggenheim

About Guggenheim Investment Advisory
Guggenheim Investment Advisory (GIA) is a business unit of Guggenheim Partners, LLC. GIA provides investment and wealth management solutions to independent registered investment advisors, private banks and trust companies and similar financial intermediaries, helping them scale their businesses and meet the diverse needs of an increasingly sophisticated client base.

InCapital Incapital underwrites and distributes fixed income and market-linked securities. In addition to its broker-dealer and bank partners, Incapital serves institutional investors and wealth managers. Based in Chicago and Boca Raton, the firm represents over 300 issuing entities and serves 800+ distribution partners. Incapital provides market leadership with a growing range of product offerings, strong strategic partnerships and innovative technology.

IndexUniverse.com is the leading independent authority on ETFs, indexes and index funds. It covers product and market developments related to index funds, ETFs, index derivatives, and the sophisticated investment strategies that use these financial tools. The web site aims to provide the industry's best news, columns, research and features about the dynamic field of index-based investing and trading. It also offers valuable tools and data to assess markets and investment products, and incisive commentary designed to help advisers cut through the clutter and find the right products for their clients.
IndexUniverse.com aims to be educational, thought-provoking and most importantly, rigorously independent.

INTL FCStone Inc. INTL FCStone Inc. (Ticker symbol: INTL) is a Fortune 500 company, providing customers across the globe with execution, clearing and advisory services in commodities, capital markets, currencies, asset management and more.
INTL FCStone's customers include the producers, processors and end users of virtually every major traded commodity; commercial counter-parties; governmental, non-governmental and charitable organizations; institutional investors; brokers; professional traders; commercial banks; and major investment banks.
We are focused on providing value-added financial solutions to our 10,000 wholesale customers around the world. We use our capital, expertise and knowledge to protect our clients’ bottom line margins, reduce costs or provide efficient solutions in more-complex financial markets.

Jackson National Life Insurance Company Jackson National Life Insurance Company® (Jackson®) is one of America's leading providers of variable, fixed and fixed index annuities. Jackson has a long track record of providing the products, tools and support financial advisers need to deliver long-term investment solutions to their clients. The company also offers institutional products and, through its affiliates and subsidiaries, provides asset management and retail brokerage services.
Jackson started offering alternatives in 2005 — before the market meltdown and before alternative investing became news. Since then, we’ve become a leading distributor of alternative investments in the annuity market. Jackson believes alternative investing must be supported with a combination of people, processes and technology. That’s why we built one of the industry’s largest and most well-trained wholesaling forces to provide representatives with training and tools for success. Our goal is to help financial professionals fully understand the potential of investing in alternative investments and strategies and be completely confident when explaining alts to clients.
For more information, please visit www.elite-access.com and www.jackson.com.
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Janus brings together three investment boutiques, each with a powerful investment approach that is distinct within its asset class. Our clients benefit from expertise across an array of strategies, including growth, value and risk-managed equities, fixed income and alternatives.

Jefferson National Jefferson National is a leading innovator, singularly focused on serving RIAs and fee-based advisors with new solutions for wealth accumulation that manage challenging market dynamics, ongoing volatility and rising taxes. Named the “Gold Standard” for launching the next-generation tax-advantaged account, Jefferson National’s Monument Advisor is the first no-load flat-fee variable annuity with the industry’s largest selection of over 390 funds. Jefferson National has topped $1.4 Billion in AUM with advisors “Who Don’t Do Annuities” and helped consumers save over $44 million in insurance fees. Winner of more than 30 industry awards, including DMA 2010 “Financial Services Company of the Year.

Kellner Founded in 1981, Kellner Capital, LLC is one of Wall Street’s oldest alternative investment management firms. Kellner’s investment strategies emphasize event-driven opportunities and can be accessed through its hedge funds and alternative mutual funds. Based in New York City, Kellner is an independently owned registered investment advisor. kellnercap.com

Litman Gregory 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 publishes its research for investment professionals through AdvisorIntelligence. Litman Gregory advises a family of no-load mutual funds, including a fully liquid, multi-strategy alternatives fund. In total, Litman Gregory manages or advises on approximately $8 billion in assets.
www.litmangregory.com

Litman Gregory Established in 1998, LJM Partners is an alternative investment firm specializing in short volatility strategies.  For nearly 15 years, LJM has been a leader in the CTA options strategy space.  LJM manages non-directional portfolios of options on S&P 500 index futures.  Dedicated to emphasis on proper risk management, LJM provides an opportunity to earn positive, uncorrelated returns over the long term.

Long Short Advisors Long Short Advisors, LLC launched the LS Opportunity Fund (LSOFX) to offer access to Independence Capital Asset Partners’ (ICAP) $450 million long/short equity strategy in a 1940 Act mutual fund structure. While LSOFX launched in 2010, ICAP has been operating a traditional hedge fund with a similar investment objective since 2004. LSOFX aims to identify compelling long/short investment opportunities through bottom-up stock selection based upon in-depth fundamental analysis. Through extensive research, implementation of risk management, diversification, and limited leverage, the Fund strives to do what a successful investment manager should do – preserve capital while delivering above-market returns and managing volatility.

MD Sass M.D. Sass has been a leading investment management firm for over forty years constantly looking past popular perceptions to take aim at attractive opportunities.  Today, M.D. Sass and its affiliates employ over 100 people managing $8.5B across a spectrum of equity, fixed income, hedge fund and private equity strategies including value equities, covered call equities, short duration fixed income, agricultural lending, metals/mining, asset backed securities and non-performing loans.  Our clients include some of the world's largest financial institutions, state and local governments, Fortune 500 and other corporations, endowment funds, foundations, Taft Hartley funds and high net worth individuals.

Merk Investments Merk Investments, the Authority on CurrenciesTM, is the manager of the Merk FundsSM. A pioneer in the currency asset class, Merk Investments offers a suite of transparent actively managed currency funds that do not typically employ leverage. Merk provides original insights, commentaries and analysis on currencies and the global economy. Merk is an industry leader in research and a primary source of information for investment professionals and the media. The Merk funds include the Merk Hard Currency Fund, the Asian Currency Fund, the Merk Absolute Return Currency Fund and the Merk Currency Enhanced U.S. Equity Fund.

Millennium Trust Company Millennium Trust Company is a leading financial services company offering niche alternative custody solutions to institutions, advisors and individuals. We serve as a complement to traditional services offered by other custodians. Our innovative solutions include rollover solutions, alternative asset custody, private fund custody and advisor support services.
Our innovative approach comes from looking at the changing regulatory landscape, responding to clients and developing solutions that meet a void in the marketplace. While our custody solutions serve niche market needs, we work with a wide range of clients from individuals to Fortune 500 companies. Millennium Trust has over 229,000 accounts as of 12/31/12.

Montage Montage Investments brings together a unique group of institutional investment managers – each offering a distinct approach to money management that reflects many decades of professional experience and proprietary investment strategies across global asset classes. Collectively, the Montage affiliates manage more than $14 billion, including over $1 billion in seven mutual funds. The firm’s organizational approach is to allow individual investment managers to retain boutique processes, talent and culture with a goal of adding value to portfolios, while at all times meeting client objectives.
Today, we manage over $14 billion, while retaining organizational uniqueness and flexibility, allowing our investment managers to focus on what they do best.

Morgan Creek Morgan Creek Capital Management, LLC is a leading global alternatives asset manager that provides investment management and advisory services to institutions and wealthy families.  We offer “Customized Solutions” to clients in need of a comprehensive investment program, as well as discretionary strategies to assist clients in building investment programs based on the University Endowment Model.  Morgan Creek, an SEC-registered investment adviser, provides asset allocation, manager selection, and portfolio construction through advisory relationships and discretionary strategies.

Nile Capital Management Nile Capital Management
116 Village Boulevard, Suite 200-P
Princeton, NJ 08540
www.nilefunds.com

Nile Capital Management, the advisor to the Nile Pan Africa series of funds, is an asset management firm with in-depth investment expertise that covers the entire African continent. We believe in Africa’s growth potential, and endeavor to expand investors’ access to emerging/frontier markets.

The Northern Lights Fund Trusts are shared mutual fund trusts comprised of independent funds, all managed by separate investment advisors. Advisors have joined the trusts, administered by Gemini Fund Services, to counteract the increasing costs of doing business and increased level of regulatory compliance in the mutual fund industry.  We have taken the shared trust environment to the next level by providing a network in which advisors interact and share marketing and distribution ideas, gain additional fund exposure through our various marketing efforts, and have an opportunity to bring their funds together to form a more comprehensive fund family.

Nuveen Nuveen Investments provides high-quality investment services designed to help secure the long-term goals of institutional and individual investors as well as the consultants and advisors who serve them.  Nuveen markets a wide range of specialized investment solutions which provide investors access to capabilities of its high-quality boutique investment affiliates—Nuveen Asset Management, LLC, Symphony Asset Management LLC, NWQ Investment Management Company, LLC, Santa Barbara Asset Management, LLC, Tradewinds Global Investors, LLC, Winslow Capital Management, LLC and Gresham Investment Management LLC -- all of which are registered investment advisers and subsidiaries of Nuveen Investments, Inc.  In total, Nuveen managed approximately $224 billion as of March 31, 2013.

The Options Industry Council The Options Industry Council (OIC) is dedicated to educating individual investors, financial advisors and institutional investors about the benefits and risks of exchange-traded options.  OIC comprises the nine U.S. options exchanges and OCC.  Since 1992, the contributions that OIC has made to the investing and brokerage communities have been significant to the growth of the options industry.  OIC has a wide range of educational programs and offerings – software, literature, live seminars, online classes and Investor Services live help at 1-888-OPTIONS– tailored to meet the knowledge and experience level of individual investors who are willing to learn about the versatility of options.  The educational materials created by OIC are approved by exchange compliance professionals.
 
One North Wacker Drive, Suite 500
Chicago, IL 60606
1-888-OPTIONS
(1-888-678-4667)
Email:  options@theocc.com
Web site:  OptionsEducation.org

Oppenheimer Funds OppenheimerFunds, Inc. is one of the nation’s largest and most respected investment management companies. As of December 31, 2012, OppenheimerFunds, Inc., including subsidiaries, managed more than $195 billion in assets, including mutual funds having more than 12 million shareholder accounts, including sub-accounts.  Known for its tagline The Right Way to Invest, OppenheimerFunds, Inc. has been helping investors reach their financial goals since 1959. The Company and its controlled affiliates offer a broad range of products and services to individuals, corporations and institutions, including mutual funds, separately managed accounts, investment management for institutions, qualified retirement plans and sub advisory investment-management services.

Grant Park Dearborn Capital Management, LLC, Advisor (the “Advisor”) to Grant Park Managed Futures Strategy Fund (the “Fund”) has been in continuous operation since 1989.  The Advisor’s investment management team has extensive experience structuring and managing alternative investment portfolios.   As of March 31, 2013, the firm managed approximately $738 million of client assets which were invested in managed futures strategies.

PENSCO Trust Company PENSCO Trust Company has been a leading alternative asset custodian for more than two decades, helping astute investors buy, hold and sell non-publically traded investments in tax-advantaged accounts.
The firm’s highly trained staff has expertise in this specialized area that is hard to find elsewhere – which is why clients have entrusted PENSCO with over $10 billion in assets ranging from investments in LLC’s to secured notes to real estate.   PENSCO also employs the latest technology to speed and simplify the process and keep investors and their advisors informed every step of the way.

Permanent Portfolio Permanent Portfolio Family of Funds Inc., is a no-load mutual fund family that’s investment philosophy is founded on protecting what you have and producing consistent, above-average, after-tax returns. Its family of funds consists of four separate “Portfolios,” each with its own investment objective and strategies. The Permanent Portfolio is a unique balanced fund that invests in a diversified mix of asset classes and is designed to preserve and increase the purchasing power value of its shares over the long-term. 600 Montgomery Street, San Francisco, CA 94111, 800-531-5142, fax 254-527-3406. info@permanentportfoliofunds.com www.permanentportfoliofunds.com contact Jan Moeller.
The fund’s investment objectives, risks, charges and expenses must be considered carefully before investing. The prospectus contains this and other important information about the fund and it may be obtained by calling (800) 531-5142, or by visiting www.permanentportfoliofunds.com. Read it carefully before investing.
Mutual fund investing involves risk; loss of principal is possible.
The Permanent Portfolio Family of Funds, Inc. is distributed by Quasar Distributors, LLC.

PowerShares Invesco PowerShares Capital Management LLC is Leading the Intelligent ETF Revolution® through its family of more than 140 domestic and international exchange-traded funds, which seek to outperform traditional benchmark indexes while providing advisors and investors access to an innovative array of focused investment opportunities. With franchise assets over $77 billion as of March 31, 2013, PowerShares ETFs trade on both U.S. stock exchanges. For more information, please visit us at invescopowershares.com or follow us on Twitter @PowerShares.
PowerShares® is a registered trademark of Invesco PowerShares Capital Management LLC (Invesco PowerShares). Invesco PowerShares and Invesco Distributors, Inc. are indirect, wholly owned subsidiaries of Invesco Ltd.

ProShares ProShares offers the nation’s largest lineup of alternative ETFs. We help investors to go beyond the limitations of conventional investing and face today’s market challenges. ProShares helps investors build better portfolios by providing access to alternative investments delivered with the liquidity, transparency and cost effectiveness of ETFs. ProShares’ $24 billion lineup of 140 alternative exchange traded funds includes Global Fixed Income, Hedge Strategies, Geared (leveraged and inverse), and Inflation and Volatility ETFs. Learn more at ProShares.com.
Supporting Note
* ProShares has the largest lineup of alternative ETFs in the United States according to Financial Research Corporation ("FRC"), based on analysis of all the known alternative ETF providers (as defined by FRC) by their number of funds and assets (as of 3/31/2013).

RiverNorth RiverNorth Capital Management, LLC is a Chicago-based investment management firm founded in 2000. RiverNorth specializes in opportunistic investment strategies including the trading of closed-end funds and volatility. RiverNorth is the investment adviser to RiverNorth Funds and the General Partner of multiple private investment partnerships.

RS Investments At the core of our business are multiple world-class investment management and research teams, each operating autonomously and offering our clients their unique perspectives. Our specialized investment teams deliver research-driven value, core, and growth strategies as well as sub-advised international and fixed-income strategies. Staffed with experienced professionals, each team researches and pursues investment opportunities consistent with its particular style, and practices disciplined and well-defined investment processes.

Salient Salient Partners L.P. is a $18 billion investment management firm based in Houston, Texas. The firm is a recognized innovator in the development, management and delivery of sophisticated, non-traditional investment solutions for both institutional and retail investors. Through its comprehensive investment approach, Salient identifies and develops strategies that seek to eliminate unrewarded risk, reduce investing costs and focus on the fundamental drivers of returns to deliver the full potential of all markets to investors.

SC Distributors SC Distributors' goal is to be the premier distribution platform for select alternative investment products. Our mission is to connect investors and financial advisors with a focused group of leading alternative investment managers. Through a demonstrated financial services wholesale distribution model, we deliver these products to financial advisors (and their clients) throughout the United States.

Schooner Funds Schooner Investment Group provides investment management services to institutions and financial intermediaries that are seeking to preserve and build capital with a focus on sustainable, risk reducing investment strategies.  The Firm manages mutual funds, with a focus on liquid alternative funds, separate accounts, and private investment funds.  Schooner advises the Schooner Fund (Tickers: SCNAX, SCNIX) a hedged-equity mutual fund.  The Fund was specifically designed for the general investing public; executing investment strategies that seek upside participation coupled with superior risk management.

SQN SQN Capital Management, LLC (“SQN”) is an independent asset manager and registered investment advisor. Headquartered in Manhattan’s financial district and specializing in alternative asset management, SQN provides investment advisory and portfolio management services to three private offerings, two public direct participation programs, and a separately managed account. SQN’s investment strategy is focused on business-essential, revenue-producing or cost-saving assets. Historically, SQN has invested in the agricultural, energy, environmental, medical, manufacturing, technology, and transportation industries.
Whether as an investor, financing partner, or fund manager, everything under the SQN umbrella is guided by three governing principles: Transparency, Alignment, and Low Cost Structure.

Swan Wealth Advisors Swan is a registered investment advisor that specializes in the Defined Risk Strategy (“DRS”) which is a hedged equity and option income strategy that allows investors to participate in the upward price movement of the S&P 500 index while reducing most of the downside risk.   The DRS is a market neutral/absolute return strategy designed to offer superior absolute and risk adjusted returns over a full investment cycle.  The DRS is suitable for large cap core replacement, liquid alternative, long term cash or overlay onto an existing low basis or concentrated portfolio.

TD Ameritrade TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to nearly 4,500 fee-based, independent Registered Investment Advisors and their clients. Our advanced technology platform, coupled with personal support from our dedicated service teams, allows investment advisors to grow their businesses more efficiently and effectively, while optimizing time spent with clients. We provide a robust offering of products, programs, and services designed to help advisors build their businesses and help their clients reach their financial goals.  Learn more at tdainstitutional.com or call us at 800-934-6124.
TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC/NFA

Tortoise Capital Advisors Tortoise Capital Advisors, L.L.C. is an investment manager specializing in listed energy investments. Tortoise is considered a pioneer in managing portfolios of MLP securities and other energy companies for individual, institutional and closed-end fund investors As of April 30, 2013, the adviser had approximately $11.8 billion in assets under management in NYSE-listed closed-end investment companies, two open-end funds and other accounts. For more information, visit www.tortoiseadvisors.com.

Van Eck Global Founded in 1955, Van Eck Global was among the first U.S. money managers helping investors achieve greater diversification through global investing. Today the firm continues this tradition by offering innovative, actively managed investment portfolios in hard assets, emerging markets, precious metals including gold, fixed income, and other alternative asset classes.
Van Eck’s investment products include mutual funds, Market Vectors exchange-traded funds and notes, variable insurance product funds, separate accounts and alternative investments.  Market Vectors ETPs have been offered since 2006 and span several asset classes, including equities, fixed income (municipal and international bonds) and currency markets. 

Weitz Omaha-based Wallace R. Weitz & Co. serves as the investment adviser to Weitz Funds.  The firm was founded by Wally Weitz in 1983 with about $11 million under management.
Weitz now manages approximately $4.4 billion for individuals, advisors, pensions, not-for-profit organizations and retirement plans through nine no-load mutual funds and separate accounts.

WisdomTree WisdomTree launched its first ETFs in June of 2006, and is currently the industry's sixth largest ETF provider. WisdomTree sponsors 47 distinct ETFs that span asset classes and countries around the world. Categories include: U.S. and International Equity, Currency, Fixed Income and Alternatives. WisdomTree pioneered the concept of fundamentally weighted ETFs and active ETFs and is currently an industry leader in both categories (as measured by assets under management.) WisdomTree is the only publicly traded asset manager exclusively focused on the ETF industry.
The WisdomTree common stock is listed on the NASDAQ Global Market under the ticker: WETF.

YieldShares YieldShares LLC is an ETF Sponsor focused on investment income. Founded by ETF veteran Christian Magoon, the firm seeks to expand access to income focused investment strategies available inside an ETF.

   

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