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2012 Asset Manager Partners

361 Capital 361 Capital is a firm with a long history of managing alternative investment portfolios. For almost two decades the principals of the firm have been creating portfolios using alternative investments for major institutions, financial intermediaries, and wealthy individuals. We have a unique view resulting from our breadth of experience creating hedge fund of funds using some of the industry’s premier managers, and managing our own hedge funds, along with our affiliation with Lighthouse Partners, a $6 billion hedge fund of funds. The result is a deep understanding of the different strategies that make-up alternative investing.

AIS Capital Management Founded in 1992, AIS (Applied Intelligence Strategies) provides discretionary asset management to institutions and accredited individual investors. Drawing on decades of investment experience, our decisions are based on extensive analysis of global economic factors, valuations and relative performance of asset classes in order to select assets – ranging from equities, bonds, precious metals, foreign currencies and commodities – that we believe offer the best opportunity to capture above average rewards while minimizing risks.

 Altegris Altegris searches the world to find what we believe are the best alternative investments. Our suite of alternative investment solutions are designed for financial professionals and individuals seeking to improve portfolio diversification.
With one of the leading research and investment groups focused solely on alternatives, Altegris follows a disciplined process for identifying, evaluating, selecting and monitoring investment talent across a spectrum of alternative strategies including managed futures, global macro, long/short equity, event-driven and others.

SB Auer Funds SB Auer Funds has a single fund family, managing the $75 million Auer Growth Fund (AUERX).  The fund uses a very unique strategy to look for fast growing companies that look to increase by 100%.  Although the fund is only a few years old the system was employed by the Auer Family at Morgan Stanley since 1987, with extremely strong results for the 25 year period.

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.

 DundeeWealth DundeeWealth US, LP offers a broad range of strategies to institutional investors and wealth management firms.   We are a division of DundeeWealth Inc., one of Canada’s largest investment firms, and a member of the Scotiabank Group.  Our platform includes more than 20 investment strategies including U.S., global and international equities, and specialized strategies such as gold and precious metals, natural resources, energy income and Canadian equities.  Investment offerings are available through separate accounts, mutual funds, and commingled vehicles. 

Eaton Vance Eaton Vance Corp. (NYSE: EV) is one of the oldest investment management firms in the United States, with a history dating to 1924. Eaton Vance and its affiliates offer individuals and institutions a broad array of investment strategies and wealth management solutions. The Company’s long record of exemplary service, timely innovation and attractive returns through a variety of market conditions has made Eaton Vance the investment manager of choice for many of today’s most discerning investors. For more information, visit

Equinox Fund Management Since 2003, Equinox Fund Management has been a visionary in bringing alternative investment fund solutions to institutional, high net-worth and individual investors.  With more than $1.4 billion in assets under management as of June 30, 2012,  Equinox manages The Frontier Fund — the first public multi-advisor managed futures fund with daily liquidity, and MutualHedge Frontier Legends Fund — the first actively managed, multi-advisor managed futures mutual fund.  Equinox also sponsors the Equinox Commodity Strategy Fund and the Equinox Alternative Strategy Platform of single CTA mutual funds.   Our portfolio management team, with over 26 years of CTA investing experience, is led by Chief Investment Officer Richard Bornhoft and Ajay Dravid, Managing Director of Portfolio Management. 

 Federated Federated Investors, Inc. is headquartered in Pittsburgh, PA, with five global investment offices.  The firm has 1,300 employees worldwide including 215 investment professionals and 79 Chartered Financial Analysts.  Our style-consistent investment strategies include a robust variety of separate account strategies as well as a broad spectrum of equity, fixed income and money market funds.  The investment management focus is a commitment to delivering superior long-term performance with proven risk management.  Federated has managed Emerging Markets Debt Strategies since 1996, has over $1.3B in EMD AUM as of June 30, 2012.

 Fidelity Fidelity Financial Advisor Solutions provides investment products and services through Fidelity Investments Institutional Services Company, Inc., working with investment professionals at financial institutions nationwide, including wirehouses, regional and independent broker/dealers, registered investment advisors, banks, trust companies, and insurance companies. The company offers Fidelity Advisor Funds®, Variable Insurance Product (VIP) Portfolios, systematic investment plans, and institutional money market funds.

 F-Squared Investments F-Squared Investments was founded with the mission of redefining how investment solutions can be reliably delivered to investors.  We believe that severe losses during market downturns are the single greatest threat to investor goals.  Throughout our suite of investment solutions, the theme is quality of returns coupled with significant downside risk management.  We are not benchmark-centric, as downside risk management requires an ability to de-couple from passive benchmarks as markets weaken.  We target relative returns in in bull markets and focus on the risk of loss in bear markets.  F-Squared seeks to deliver consistently and repeatedly on clearly-defined client expectations.

Guggenheim Guggenheim Investments represents the investment management division of Guggenheim Partners, LLC. Collectively, we have had a long, distinguished history of serving institutional investors, ultra-high-net-worth individuals, family offices and financial advisors. We offer clients a wide range of differentiated capabilities built on a commitment to investment excellence. Each of our investment teams brings a unique expertise and point of view about what drives asset and market behavior, and what drives risk and reward. Our clients have valued us for our traditions of independence, thought leadership, purposeful innovation and nimbleness. For more information, visit

Harbor Funds Harbor Funds is a diversified family of mutual funds that offers access to a lineup of respected institutional investment firms from across the country. Harbor uses a "manager of managers" approach to investing by identifying experienced portfolio managers (subadvisers), who specialize in a particular asset class to make all of the day-to-day investment decisions for our funds. Investors in Harbor Funds have the benefit of both a professional portfolio manager combined with Harbor’s internal philosophy of closely managing costs, allowing us to offer a family of funds that we believe delivers long-term value to our shareholders.

Hotchkis & Wiley Founded in 1980, Hotchkis and Wiley is a boutique asset management firm based in Los Angeles, CA specializing in long-only value investing. As of December 31, 2011, we manage more than $16 Billion in our seven Institutional and Mutual Fund strategies. The firm prides itself on an active, team-based, investment approach driven by fundamental research and bottom up security selection. Privately held, the majority of our employees have an equity stake in the firm.

IndexUniverse 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. aims to be educational, thought-provoking and most importantly, rigorously independent.

 The International Securities Exchange The International Securities Exchange (ISE) operates a leading U.S. options exchange and offers options trading on over 2,000 underlying equity, ETF, index, and FX products.  As the first all-electronic options exchange in the U.S., ISE transformed the options industry by creating efficient markets through innovative market structure and technology.  ISE continues to expand its marketplace through the ongoing development of enhanced trading functionality, new products, and market data services. ISE has a portfolio of over 25 proprietary indexes, based on a diverse range of asset classes, fast growing industries and emerging technologies. Our team of indexing experts is dedicated to creating these innovative indexes and partnering with issuers to launch unique investment vehicles, including exchange traded funds (ETFs), exchange traded notes (ETNs) and structured products. Learn more at and

 Janus 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.

Jensen For over two decades Jensen has been defined by our uncompromising commitment to quality. Not only in the companies in which we invest, but in everything we do.
The consistency, dedication and independence fostered by that commitment have become hallmarks of our firm. Over the years we have developed a unique, collaborative culture that is key to our ability to attract and retain talented, dedicated professionals. Professionals with a broad spectrum of business experience who understand market cycles and who know that a sound, sustainable investment process is vital in every economic climate.
As an independent, employee-owned firm, we believe that management ownership is important in the companies we invest in and we apply the same principle to our firm.
Based in Portland, Oregon, Jensen Investment Management offers two investment strategies: The Jensen Quality Growth Portfolio and the Jensen Value Fund.

Litman Gregory Litman Gregory Masters Funds
Access our in-depth research and manager selection expertise through the six no-load Litman Gregory Masters Funds.
The Alternative Strategies fund seeks to use complementary strategies of four skilled managers to achieve lower volatility, low correlation to the equity markets, and outperformance versus its benchmark.
Our five multi-manager equity funds seek to isolate the expertise of skilled stock pickers by constructing portfolios with a limited number of each manager’s highest-conviction ideas.
Investing in the Alternative Strategies Fund involves risks, including but not limited to, debt, below investment-grade fixed income, convertible and mortgage backed securities risk, and foreign investment, leverage, derivatives, short sale and merger arbitrage risk. Refer to the prospectus for further details.
While the funds are no-load, management and other expenses apply.
Litman Gregory Masters Funds are distributed by Quasar Distributors, LLC.

Merk Merk FundsSMare managed by Merk Investments, the Authority on Currencies.TM A pioneer in the currency asset class, Merk Investments offers a suite of transparent mutual funds that do not typically employ leverage. The funds offered by Merk include the Merk Hard Currency Fund (MERKX), the Merk Asian Currency Fund (MEAFX) and the Merk Absolute Return Currency Fund (MABFX).
Merk provides original insights, commentarprimary source of information for investment professionals and the media.

Munder Capital Management Munder Capital Management is an institutional investment management firm providing highly disciplined domestic equity, international equity, and fixed income investment solutions.  Together with its Integrity Asset Management affiliate, $15 billion of investment assets are managed on behalf of corporations, retirement plans, insurance companies, municipalities, Taft-Hartley and mutual fund investors. Based in Birmingham, MI with an office in Boston, Munder Capital is an independently owned firm and its employees represent a significant percentage of ownership, contributing to its client-centric culture. Integrity Asset Management is an Ohio-based money management firm specializing in managing value-oriented equity strategies for institutional clients.

Oppenheimer Funds OppenheimerFunds, Inc. is one of the nation’s largest and most respected investment management companies. As of March 31, 2012, OppenheimerFunds, Inc., including subsidiaries, managed more than $183 billion in assets, including mutual funds having more than 11 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.

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.

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U.S. Boston Capital Corporation, distributor of the Pear Tree Funds, was established in 1969 as an independent, privately-owned company providing wealth management services to high net worth clients. In 1985, U.S. Boston launched a registered mutual fund family subadvised by boutique, high-quality institutional investment firms. The Pear Tree Funds provides access for all investors currently offering six funds - three domestic funds and three international funds.



Polaris Capital Management, LLC is a global and international value equity manager, serving the investment needs of institutions and individuals since 1995. Polaris' global value philosophy is a disciplined combination of proprietary investment technology and traditional fundamental research that seeks to identify the most undervalued companies worldwide.

Using a unique three-step process to identify companies with undervalued streams of sustainable cash flow, Polaris develops a dynamic portfolio of 50-100 equally weighted securities from a universe of more than 30,000 companies in more than 100 countries. The firm's commitment to pure value investing distinguishes it from its peers.

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, (866)792-6547,
[email protected]
Contact Jordan Clopton
[email protected]

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 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.

Sierra Founded in 1987, Sierra and its affiliates currently manage over $1.5 billion in separate accounts (under the Ocean Park label) and mutual funds, designed to serve the needs of retirees and other conservative investors.
The goals of the Sierra Core Retirement Fund are to average 8%-10% over a market cycle while at the same time limiting downside risk to 4%-5%. In recent years, goals such as these are referred to as “absolute return” goals. However, there is no assurance that the Fund will succeed in achieving these two key goals. Sierra has managed separate accounts for the past 17 years using the same strategies now used in the Core Fund.
Fact Sheets, performance and other information on both funds can be viewed at For further information call Jeff Johnson at 1-855-879-4075 or email [email protected].
Investment return and principal will fluctuate, so that shares when redeemed, may be worth more or less than their original cost.
Investors should carefully consider the investment objectives, risks, charges and expenses of the Sierra mutual funds. This and other information about the funds are contained in their prospectuses and should be read carefully before investing. The prospectuses can be obtained on our website,, or by calling toll free 1-855-556-1295. The Sierra mutual funds are distributed by Northern Lights Distributors, LLC, Member FINRA. Ocean Park Asset Management, Inc. is not affiliated with Northern Lights Distributors, LLC.


 SteelPath SteelPath is a leading investment manager of Master Limited Partnership (MLP) portfolios. The firm has been investing in MLPs since 2004, and is based in Dallas, Texas. Products offered include mutual funds, separately managed accounts and investment limited partnerships. SteelPath employs a fundamental, research‐driven portfolio selection process to invest predominately in U.S. based energy infrastructure companies structured as MLPs. Energy infrastructure MLPs transport, store, and process liquid hydrocarbons and natural gas, and generate revenues largely through fee or fee‐like contracts. SteelPath believes these companies generally offer potential growth profiles due to the substantial need for new energy infrastructure domestically, robust acquisition opportunities and the benefit of operating leverage which is inherent in the energy infrastructure business model. SteelPath’s investment team has over 50 years of combined investment experience in the MLP asset class. SteelPath

 Symetra Symetra is a diversified, well-capitalized company on the rise, as symbolized by our brand icon—the swift. We’ve operated on a foundation of financial stability, integrity and transparency for more than half a century, providing solutions that clients need through investment professionals, financial institutions, benefit consultants and independent agents. Symetra Financial Corporation trades as “SYA” on the NYSE. Symetra Life Insurance Company is a wholly owned subsidiary of Symetra Financial Corporation.

 Wellesley Wellesley Investment Advisors is a firm with over $1 billion in AUM that solely manages convertible bonds for other investment professionals, RIAs and institutions.  We manage convertibles both in SMAs and an open-end publicly traded convertible mutual fund.
For over 20 years, Wellesley uses a unique alternative approach to managing convertible bonds for RIAs and investment professionals.  Wellesley’s investment goals are two-fold: (1) absolute returns and (2) outperforming both fixed income and equities over a complete market cycle. 
Recent awards and recognitions include:  
  • Rated a Top 100 Independent Financial Advisor by Barron's
  • Ranked the Best Performing Convertible Manager for the Last 15 Years by Morningstar
  • Ranked the Best Performing Convertible Manager for the Last 5 Years by Pension & Investments
  • Ranked a Top 20 Fastest-Growing RIA Firm in America by Financial Advisor Magazine
  • Ranked a Top 100 RIA Firm in Financial Advisor Magazine
  • Author of a best selling book on convertible bonds

Westcore Funds Westcore Funds offers a broad range of funds to help achieve your investment goals. Our diverse family of investment strategies includes growth, value and international equity, as well as fixed income, and reflects the founding principles of its manager, Denver Investments. From its origin in 1958, Denver Investments was built upon the tenets of institutional investing—a prudent, disciplined and consistently applied investment approach. Today, the firm manages assets for a broad array of individual and institutional investors, and is 100% employee-owned. We believe the firm’s organizational independence helps align our interests with those of our clients which enhances our ability to promote their investment success.

William Blair William Blair & Company is a global investment banking and asset management firm. We are committed to building enduring relationships with our clients and providing expertise and solutions to meet their evolving needs. An independent and employee-owned firm, William Blair is based in Chicago, with office locations in 10 cities including London, New York, Shanghai, and Zurich. The William Blair Funds now include 24 funds in asset classes where we have long-term experience and depth in investment talent—areas where we believe we can add value to our clients’ portfolios.

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