CONTACT US CONTACT US Inquiry TypePlease select... Capital Raising Services Becoming an Affiliate Partner Career Opportunities Investor seeking opportunities Speaking with someone concerning media inquiries Company Name Street Address City State / ProvincePlease select... Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming Zip/Postal Code CountryPlease select... United States Afghanistan Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroon Canada Cape Verde Cayman Islands Central African Republic Chad Chile China Christmas Island Cocos ( Keeling ) Islands Colombia Comoros Congo Cook Islands Costa Rica Côte d ' Ivoire Croatia ( Hrvatska ) Cuba Cyprus Czech Republic Congo ( DRC ) Denmark Djibouti Dominica Dominican Republic East Timor Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands ( Islas Malvinas ) Faroe Islands Fiji Islands Finland France French Guiana French Polynesia French Southern and Antarctic Lands Gabon Gambia Georgia Germany Ghana Gibraltar Greece Greenland Grenada Guadeloupe Guam Guatemala Guinea Guinea-Bissau Guyana Haiti Heard Island and McDonald Islands Honduras Hong Kong SAR Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Jamaica Japan Jordan Kazakhstan Kenya Kiribati Korea Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macao SAR Macedonia, Former Yugoslav Republic of Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexico Micronesia Moldova Monaco Mongolia Montserrat Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands Netherlands Antilles New Caledonia New Zealand Nicaragua Niger Nigeria Niue Norfolk Island North Korea Northern Mariana Islands Norway Oman Pakistan Palau Panama Papua New Guinea Paraguay Peru Philippines Pitcairn Islands Poland Portugal Puerto Rico Qatar Reunion Romania Russia Rwanda Samoa San Marino São Tomé and Prìncipe Saudi Arabia Senegal Serbia and Montenegro Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Georgia and the South Sandwich Islands Spain Sri Lanka St. Helena St. Kitts and Nevis St. Lucia St. Pierre and Miquelon St. Vincent and the Grenadines Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caicos Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Vatican City Venezuela Viet Nam Virgin Islands ( British ) Virgin Islands Wallis and Futuna Yemen Zambia Zimbabwe Main Phone Number Website TypePlease select... Hedge Fund Manager Real Estate Fund Manager Private Credit Fund Manager Private Equity Fund Manager Venture Capital Fund Manager Long Only Fund Manager Direct Investment Sponsor - Corp. Debt/Equity Direct Investment Sponsor - Real Estate Debt/Equity Direct Investment Sponsor - Other Type of InterestPlease select... Seeking a comprehensive capital raising partner Seeking a limited scope capital raising partner Undecided Sponsor TypePlease select... Direct Issuer Fundless Sponsor Fund Manager Founding Date Current Firmwide AUM Please select... $0 - $10MM $10 - $50MM $50 - $100MM $100 - $250MM $250 - $500MM $500 - $1B >$1B(US Dollars) # Investment Professionals # Non-Investment Professionals # Total Professionals Brief description of company Please select regulatory bodies with whom the company is registered: Please select... None SEC (Registered Investment Adviser) - United States Securities & Exchange Commission SEC (Exempt Reporting Adviser) - United States Securities & Exchange Commission CFTC - Commodity Futures Trading Commission FCA - Financial Conduct Authority NFA - National Futures Association Other Hold down Control to select multiple items. Please explain if other Marketing Materials: Please attach all relevant marketing materials related to the company including presentations, newsletters, performance updates, other product materials, etc. Multiple documents may be uploaded by clicking "Add Document" below. Primary Point(s) of Contact First Name Last Name Title Work Number Mobile Number Email Address LinkedIn URL Provide web address from LinkedIn profile You may add additional individuals by clicking "Add Person" below. Product Information Product/Entity Name Strategy Please select... Core Core-Plus Opportunistic Value-Added OtherHold down Control to select multiple items. Asset Type Please select... Real Estate - Multi-Asset Real Estate - Commercial Real Estate - Development Real Estate - Industrial Real Estate - Land Real Estate - Multi Family Real Estate - Office Real Estate - Residential Housing OtherHold down Control to select multiple items. Product liquidity structurePlease select... Open-ended, evergreen fund Closed-ended, drawn down structure Strategy Please select... Activist Arbitrage Buy-out Credit Directional - Long Bias Directional - Short Bias Distreseed Dividend Event Driven Fundamental Global Macro Growth Long Only Long Short Market Neutral Merger Arb Momentum Multi Strategy Niche Opportunistic Passive Quantitative/Systematic Refinancing Sector focused Special Situations Statistical Tax Driven Trend Following Trend Teversion Value Investing Value-Added Venture Volatility OtherHold down Control to select multiple items. Asset Type Please select... -Multi-Asset- Commodities - Multi-Asset Commodities - Agricultural Commodities - Industrial Metals Commodities - Livestock Commodities - Precious Metals Commodities - Precious Stones Commodities - Softs Currency Derivatives Equity Equity - MLPs Equity - Private FI - Multi-Asset FI - Agency FI - Asset-Backed FI - Bank Loans FI - CMBS FI - Convertibles FI - Corporate Debt FI - Direct Lending FI - Marketplace Lending FI - Municipals FI - Rates FI - RMBS FI - Secularized Credit/Asset FI - Sovereign Debt FI - Structured Notes FI - Trade Claims Index Infrastructure Insurance Litigation Claims Options OtherHold down Control to select multiple items. Product liquidity structurePlease select... Open-ended, evergreen fund Closed-ended, drawn down structure Structure Please select... Single Fund Pari Passu Funds (Parallel) Master Feeder Insurance Dedicated Fund (IDF) Listed Funds Managed / Separate Accounts UCITSHold down Control to select multiple items. Please explain if other strategy Please explain if other asset type Please provide a thorough explanation of the transaction. StructurePlease select... Direct Investment - Commingled Direct Investment - Single Investor Expected Form of InvestmentPlease select... Equity Debt Hybrid Is the product currently opened?YesNo Is the product entity formed/established?YesNo Date of Formation Anticipated Date of Formation Current Strategy AUM Please select... $0 - $10MM $10 - $50MM $50 - $100MM $100 - $250MM $250 - $500MM $500 - $1B >$1B(US Dollars) Target Raise Please select... $0 - $10MM $10 - $50MM $50 - $100MM $100 - $250MM $250 - $500MM $500 - $1B >$1B(US Dollars) Estimated CapacityPlease select... <$100MM $100-$250MM $250-$500MM >$500MM Principal investment into strategy/deal Please select... $0 - $500K $500K - $1MM $1 - $5MM $5 - $10MM $10 - $50MM $50 - $100MM > $100MM(US Dollars) Is product currently eligible for sale in the US?Please select... Yes No Estimated Company Enterprise Value (US Dollars) Company Annual Revenue (US Dollars) Track Record LengthPlease select... <1 years 1-3 years 3-5 years >5 years Track Record PerformancePlease select... 15%+ ann. 10-15% ann. 6-10% ann. <6% ann. - difficult markets <6% ann. - decent markets Non-transferable good Non-transferable - mediocre No track record How will the company be compensated with respect to the capital raise?Please select... Fees - Ongoing Management and/or Incentive Fees/Carry will be charged by the Manager/Sponsor N/A - Direct raise for an issuer, no fees, capital raise fees will be paid from investment proceeds Participation - Sponsor will granted a equity participation in the issuer's ongoing business Other Does a Term Sheet exist for the investment?YesNo Term Sheet Please provide a history of the Product's capital structure since inception (i.e. # of capital raises, debt vs. equity issuance, ownership metrics, etc. Marketing Material: Please attach all relevant marketing materials including presentations, product teaser, newsletters, performance updates, other product materials, etc. Multiple documents may be uploaded by clicking "Add Document" below. Due Diligence Questions For all questions below, Company is inclusive or all management company or sponsor related entities, Products includes all current and past funds, other investment entities or SPVs managed by Company, and "Principals" refers to all employees, independent contractors, or associated people that have discretion over investment decisions, hold executive titles, and/or have ownership stakes in management company or related entities. Have any of the Principals ever been part of an investment management entity or general partner, or affiliated with a Product that suspended redemptions and/or subscriptions?YesNo If Yes, please provide an explanation. Have any of the Principals ever been part of an investment management entity or general partner, or affiliated with a fund that had assets frozen, seized or impaired? YesNo If Yes, please provide an explanation. Have any of the Principals ever been part of an investment management entity or general partner, or affiliated with a fund that was voluntarily dissolved due to performance or other reasons?YesNo If Yes, please provide an explanation. Have any of the Principals ever been part of an investment management entity or general partner, or affiliated with a fund that was put into involuntary dissolution or receivership?YesNo If Yes, please provide an explanation. Have the Company or any Product related entities ever been involved in any mediation, arbitration, litigation or regulatory investigation?YesNo If Yes, please provide an explanation. Have Company, Products or Principals ever been censured or fined from any governmental bodies, jurisdictional authorities or regulatory agencies?YesNo If Yes, please provide an explanation. Has there been a material change in the Company's assets or capital (increase or decrease) over the course of the firm’s history? YesNo If Yes, please provide an explanation. Are there any material economic contingencies or liabilities of the firm?YesNo If Yes, please provide an explanation. Do there exist any internal, employee-only investments managed by the company that are not available to outside investors?YesNo If Yes, please provide an explanation. Have any of the Company's Products ever gated, forced a side pocketing of an asset, restructured or not fully paid redemptions and/or distributions in cash?YesNo If Yes, please provide an explanation. Are there any investors in the any of the Company's Products (whether a single entity, fund manager, or group of affiliated entities under common control or corporate de facto control) that have multiple investments in the Product that total greater than 15% of the AUM/capital? If so, please provide an explanation as to what the terms of those investments are and what type of investor they are?YesNo If Yes, please provide an explanation. Does the Company manage any "first loss" capital (i.e. capital from an investor or liquidity provider that requires the Investment Company to bear a disproportionate share of any investment losses)?YesNo If Yes, please provide an explanation. Do any investors have side letters with any of the funds or company? If so, please provide an explanation as to what the terms are of the agreement(s) and the correlating size of the investor(s)?YesNo If Yes, please provide an explanation. Has there been any turnover in the firm’s key employees?YesNo If Yes, please provide an explanation. Are there any current or pending organizational updates (staff turn-over, pending service provider changes, etc.)?YesNo If Yes, please provide an explanation. Conflicts of Interest: Are there any conflicts - real or perceived - that are unique to the company, its employees or the Product relative to compensation, service provider relationships, incentives, etc? Are there any other conflicts beyond what is included in standard boiler plate language that would be found in any offering document?YesNo If yes, please provide an explanation. Company Name Street Address City State / Province Zip/Postal Code CountryPlease select... United States Afghanistan Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroon Canada Cape Verde Cayman Islands Central African Republic Chad Chile China Christmas Island Cocos ( Keeling ) Islands Colombia Comoros Congo Cook Islands Costa Rica Côte d ' Ivoire Croatia ( Hrvatska ) Cuba Cyprus Czech Republic Congo ( DRC ) Denmark Djibouti Dominica Dominican Republic East Timor Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands ( Islas Malvinas ) Faroe Islands Fiji Islands Finland France French Guiana French Polynesia French Southern and Antarctic Lands Gabon Gambia Georgia Germany Ghana Gibraltar Greece Greenland Grenada Guadeloupe Guam Guatemala Guinea Guinea-Bissau Guyana Haiti Heard Island and McDonald Islands Honduras Hong Kong SAR Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Jamaica Japan Jordan Kazakhstan Kenya Kiribati Korea Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macao SAR Macedonia, Former Yugoslav Republic of Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexico Micronesia Moldova Monaco Mongolia Montserrat Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands Netherlands Antilles New Caledonia New Zealand Nicaragua Niger Nigeria Niue Norfolk Island North Korea Northern Mariana Islands Norway Oman Pakistan Palau Panama Papua New Guinea Paraguay Peru Philippines Pitcairn Islands Poland Portugal Puerto Rico Qatar Reunion Romania Russia Rwanda Samoa San Marino São Tomé and Prìncipe Saudi Arabia Senegal Serbia and Montenegro Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Georgia and the South Sandwich Islands Spain Sri Lanka St. Helena St. Kitts and Nevis St. Lucia St. Pierre and Miquelon St. Vincent and the Grenadines Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caicos Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Vatican City Venezuela Viet Nam Virgin Islands ( British ) Virgin Islands Wallis and Futuna Yemen Zambia Zimbabwe Main Phone Number Website Founding Date # Marketing Professionals # Non-Marketing Professionals # Total Professionals Company Description Primary Point(s) of Contact First Name Last Name Title Mobile Number Email Address LinkedIn URL Provide web address from LinkedIn profile Please describe your background, why you are interested in joining the Stonehaven platform and any additional information that you feel may be relevant for your submission. Questionnaire Are you currently registered with FINRA?YesNo Please provide the name of the Broker Dealer with whom you are registered. Please provide a target date for becoming registered with FINRA. Please list your current FINRA registrations: Please select... Series 3 – National Commodities Futures Series 4 – Registered Options Principal Series 6 – Investment Company and Variable Contracts Series 9 – General Securities Sales Supervisor Series 7 – General Securities Representative Series 10 – General Securities Sales Supervisor Series 11 – Assistant Representative Series 12 – NYSE Branch Manager Series 14 – NYSE Compliance Officer Series 14A – NYSE DMM Compliance Official Series 15 – Foreign Currency Options Series 16 – NYSE Supervisory Analyst Series 17 – Limited Representative (FSA registration) Series 22 – Direct Participation (Limited partnerships) Series 23 – General Securities Principal Series 24 – General Securities Principal Series 26 – Investment Company and Variable Contracts Products Principal Series 27 – Financial and Operations Principal Series 28 – Financial and Operations Principal Introducing Broker Series 30 – Futures – Branch Office Manager Series 31 – Futures – Managed Funds Series 32 – Futures Exam – United Kingdom Representatives Series 37 – Canadian Module of the General Securities Series 38 – Canadian Module of the General Securities Series 39 – Direct Participation Programs Principal Series 44 – NYSE Arca Options Market Maker Series 47 – Japanese Module of the General Securities Series 51 – Municipal Fund Securities Limited Principal Series 52 – Municipal Securities Representative Series 53 – Municipal Securities Principal Series 55 – Equity Trader – Limited Representative Series 56 – Proprietary Trader Qualification Exam Series 62 – Corporate Securities – Limited Representative Series 63 – Uniform Securities Agent State Law Series 65 – Uniform Registered Investment Adviser Law Series 66 – Uniform Investment Adviser – Combined State Laws Series 72 – Government Securities Series 79 – Investment Banking Series 82 – Private Securities Offerings Series 86 – Research Analyst Series 87 – Research Analyst Series 99 – Operations ProfessionalHold down Control to select multiple items Have you ever had any FINRA licenses lapse?YesNo Please list all FINRA licenses that have lapsed: Please select... Series 3 – National Commodities Futures Series 4 – Registered Options Principal Series 6 – Investment Company and Variable Contracts Series 9 – General Securities Sales Supervisor Series 7 – General Securities Representative Series 10 – General Securities Sales Supervisor Series 11 – Assistant Representative Series 12 – NYSE Branch Manager Series 14 – NYSE Compliance Officer Series 14A – NYSE DMM Compliance Official Series 15 – Foreign Currency Options Series 16 – NYSE Supervisory Analyst Series 17 – Limited Representative (FSA registration) Series 22 – Direct Participation (Limited partnerships) Series 23 – General Securities Principal Series 24 – General Securities Principal Series 26 – Investment Company and Variable Contracts Products Principal Series 27 – Financial and Operations Principal Series 28 – Financial and Operations Principal Introducing Broker Series 30 – Futures – Branch Office Manager Series 31 – Futures – Managed Funds Series 32 – Futures Exam – United Kingdom Representatives Series 37 – Canadian Module of the General Securities Series 38 – Canadian Module of the General Securities Series 39 – Direct Participation Programs Principal Series 44 – NYSE Arca Options Market Maker Series 47 – Japanese Module of the General Securities Series 51 – Municipal Fund Securities Limited Principal Series 52 – Municipal Securities Representative Series 53 – Municipal Securities Principal Series 55 – Equity Trader – Limited Representative Series 56 – Proprietary Trader Qualification Exam Series 62 – Corporate Securities – Limited Representative Series 63 – Uniform Securities Agent State Law Series 65 – Uniform Registered Investment Adviser Law Series 66 – Uniform Investment Adviser – Combined State Laws Series 72 – Government Securities Series 79 – Investment Banking Series 82 – Private Securities Offerings Series 86 – Research Analyst Series 87 – Research Analyst Series 99 – Operations ProfessionalHold down Control to select multiple items Please explain circumstances that lead to lapsed licences and provide relevant lapse date(s). Please disclose all current professional licensure outside of FINRA: Please select... None Real Estate License Insurance Sales Registered Investment Advisor Financial Conduct Authority (UK) OtherHold down Control to select multiple items Please explain if other Please disclose all current financial/professional designations: Please select... None CFA CFP CAIA CPA JD OtherHold down Control to select multiple items Please explain if other Have you, any of your prior employers, or any capital raising clients ever been the focus of a criminal proceeding, or securities industry related litigation, arbitration or none-routine regulatory investigation?YesNo If yes, please provide detailed explanation: Please describe any outside business activities or affiliations that you feel are relevant to your capital raising business: Business & Experience How many years of experience do you have raising capital?Please select... 1-2 years 2-3 years 3-5 years 5+ years Please indicate the primary asset class focus of your capital raising activities: Please select... Hedge Funds Real Estate Funds Private Credit Funds Private Equity Funds Venture Capital Funds Long Only Funds Direct Investments - Debt/Equity Direct Investments - Other Direct Investments - Real EstateHold down Control to select multiple items. Please indicate the demographics of your primary investor relationships: Please select... Asset Managers Consultants Endowments Family Offices - Multi Family Offices - Single Foundations Fund of Funds HNWI Pensions Pensions - Private Pensions - Public Private Banks Wealth Managers OtherHold down Control to select multiple items. Please explain if other Please indicated the geographic breakdown of your primary investor relationships: Please select... United States Asia Canada Continental Europe Middle East South America United Kingdom OtherHold down Control to select multiple items. Please explain if other Are you currently marketing any active mandates?YesNo If yes, please describe e.g. number of mandates, capital raise targets, capital base, strategy, industry, etc. Are you currently pursuing any mandates?YesNo If yes, please describe e.g. number of mandates, capital raise targets, capital base, strategy, industry, etc. Total capital placed in trailing 24 months $ Please select... $0 - $10MM $10 - $50MM $50 - $100MM $100 - $250MM $250 - $500MM $500 - $1B >$1B (US Dollars) Total historical capital placed $ Please select... $0 - $10MM $10 - $50MM $50 - $100MM $100 - $250MM $250 - $500MM $500 - $1B >$1B (US Dollars) Do you currently plan or envision planning on marketing any publicly traded companies? YesNo If yes, please describe You may add additional individuals by clicking "Add Person" below. Applicant TypePlease select... Employment - Full Time Employment - Part Time Internship Internship ProgramPlease select... Summer - Full Time Fall Semester - Full Time Fall Semester - Part Time Spring Semester - Full Time Spring Semester - Part Time Departmental InterestPlease select... Accounting Administration Human Resources Legal & Compliance Management Operations Sales & Marketing First Name - Career Last Name Phone Number Please disclose all current financial/professional designations Please select... None CFA CFP CAIA CPA JD OtherHold down Control to select multiple items Email LinkedIn URL Link Please explain if other Please describe your background, why you are interested in working at Stonehaven and any additional information that you feel may be relevant to your application. Resume Cover Letter Sales Activity Information How many years of experience do you have raising capital?Please select... 1-2 years 2-3 years 3-5 years 5+ years New to sales Experience raising assets for the following asset classes: Please select... Hedge Funds Real Estate Funds Private Credit Funds Private Equity Funds Venture Capital Funds Long Only Funds Direct Investments - Debt/Equity Direct Investments - Other Direct Investments - Real Estate New to salesHold down Control to select multiple items. Please describe your investor base demographics: Please select... Asset Managers Consultants Endowments Family Offices - Multi Family Offices - Single Foundations Fund of Funds HNWI Pensions Pensions - Private Pensions - Public Private Banks Wealth Managers New to sales OtherHold down Control to select multiple items. Please explain if other Please describe the geographic breakdown: Please select... United States Canada Africa Asia Continental Europe Middle East South America United KingdomHold down Control to select multiple items. Total Capital Placed $ Please select... $0 - $10MM $10 - $50MM $50 - $100MM $100 - $250MM $250 - $500MM $500 - $1B >$1B New to Sales (US Dollars) Registered Representative Questionnaire Are you currently registered with a broker dealer? YesNo Please provide the name of the Broker Dealer Please list your current FINRA registrations: Please select... None Series 3 – National Commodities Futures Series 4 – Registered Options Principal Series 6 – Investment Company and Variable Contracts Series 7 – General Securities Representative Series 9 – General Securities Sales Supervisor Series 10 – General Securities Sales Supervisor Series 11 – Assistant Representative Series 12 – NYSE Branch Manager Series 14 – NYSE Compliance Officer Series 14A – NYSE DMM Compliance Official Series 15 – Foreign Currency Options Series 16 – NYSE Supervisory Analyst Series 17 – Limited Representative (FSA registration) Series 22 – Direct Participation (Limited partnerships) Series 23 – General Securities Principal Series 24 – General Securities Principal Series 26 – Investment Company and Variable Contracts Products Principal Series 27 – Financial and Operations Principal Series 28 – Financial and Operations Principal Introducing Broker Series 30 – Futures – Branch Office Manager Series 31 – Futures – Managed Funds Series 32 – Futures Exam – United Kingdom Representatives Series 37 – Canadian Module of the General Securities Series 38 – Canadian Module of the General Securities Series 39 – Direct Participation Programs Principal Series 44 – NYSE Arca Options Market Maker Series 47 – Japanese Module of the General Securities Series 51 – Municipal Fund Securities Limited Principal Series 52 – Municipal Securities Representative Series 53 – Municipal Securities Principal Series 55 – Equity Trader – Limited Representative Series 56 – Proprietary Trader Qualification Exam Series 62 – Corporate Securities – Limited Representative Series 63 – Uniform Securities Agent State Law Series 65 – Uniform Registered Investment Adviser Law Series 66 – Uniform Investment Adviser – Combined State Laws Series 72 – Government Securities Series 79 – Investment Banking Series 82 – Private Securities Offerings Series 86 – Research Analyst Series 87 – Research Analyst Series 99 – Operations ProfessionalHold down Control to select multiple items Please disclose all current professional licensure outside of FINRA: Please select... None Real Estate License Insurance Sales RIA FSA OtherHold down Control to select multiple items Please explain if other Have you ever been involved in any regulatory investigations or examinations?YesNo If yes, please provide detailed explanation Have you ever raised capital for any products which incurred material regulatory events? YesNo If yes, please provide detailed explanation Have you ever been involved in any arbitration, litigation, or criminal investigation of any kind?YesNo If yes, please provide detailed explanation Please describe any outside business activities or affiliations that you feel are relevant to your capital raising business: Investor TypePlease select... High Net Worth Individual Institution Investor Sub-TypePlease select... Asset Manager Bank Consultant Corporate Investor Family Office - Multi Family Office - Single Endowment Plan Fund of Hedge Funds Manager FOF & Seeder Foundation Government Agency Investment Bank Insurance Company Investment Trust Managed Accounts Platform Private Sector Pension Fund Public Pension Fund Real Estate Fund Sovereign Wealth Fund Superannuation Scheme Wealth Manager Non U.S. Conglomerate Non U.S. Government Broker Dealer Consulting Other Company Name Street Address City State / Province Zip/Postal Code CountryPlease select... United States Afghanistan Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroon Canada Cape Verde Cayman Islands Central African Republic Chad Chile China Christmas Island Cocos ( Keeling ) Islands Colombia Comoros Congo Cook Islands Costa Rica Côte d ' Ivoire Croatia ( Hrvatska ) Cuba Cyprus Czech Republic Congo ( DRC ) Denmark Djibouti Dominica Dominican Republic East Timor Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands ( Islas Malvinas ) Faroe Islands Fiji Islands Finland France French Guiana French Polynesia French Southern and Antarctic Lands Gabon Gambia Georgia Germany Ghana Gibraltar Greece Greenland Grenada Guadeloupe Guam Guatemala Guinea Guinea-Bissau Guyana Haiti Heard Island and McDonald Islands Honduras Hong Kong SAR Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Jamaica Japan Jordan Kazakhstan Kenya Kiribati Korea Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macao SAR Macedonia, Former Yugoslav Republic of Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexico Micronesia Moldova Monaco Mongolia Montserrat Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands Netherlands Antilles New Caledonia New Zealand Nicaragua Niger Nigeria Niue Norfolk Island North Korea Northern Mariana Islands Norway Oman Pakistan Palau Panama Papua New Guinea Paraguay Peru Philippines Pitcairn Islands Poland Portugal Puerto Rico Qatar Reunion Romania Russia Rwanda Samoa San Marino São Tomé and Prìncipe Saudi Arabia Senegal Serbia and Montenegro Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Georgia and the South Sandwich Islands Spain Sri Lanka St. Helena St. Kitts and Nevis St. Lucia St. Pierre and Miquelon St. Vincent and the Grenadines Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caicos Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Vatican City Venezuela Viet Nam Virgin Islands ( British ) Virgin Islands Wallis and Futuna Yemen Zambia Zimbabwe Main Phone Number Institution Primary Point(s) of Contact First Name Last Name Title Email Address Phone Number LinkedIn URL Provide web address from LinkedIn profile You may add additional individuals by clicking "Add Person" below. First Name Last Name Title Phone Number Email Address LinkedIn URL Provide web address from LinkedIn profile Street Address City State / Province Zip/Postal Code CountryPlease select... United States Afghanistan Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroon Canada Cape Verde Cayman Islands Central African Republic Chad Chile China Christmas Island Cocos ( Keeling ) Islands Colombia Comoros Congo Cook Islands Costa Rica Côte d ' Ivoire Croatia ( Hrvatska ) Cuba Cyprus Czech Republic Congo ( DRC ) Denmark Djibouti Dominica Dominican Republic East Timor Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands ( Islas Malvinas ) Faroe Islands Fiji Islands Finland France French Guiana French Polynesia French Southern and Antarctic Lands Gabon Gambia Georgia Germany Ghana Gibraltar Greece Greenland Grenada Guadeloupe Guam Guatemala Guinea Guinea-Bissau Guyana Haiti Heard Island and McDonald Islands Honduras Hong Kong SAR Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Jamaica Japan Jordan Kazakhstan Kenya Kiribati Korea Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macao SAR Macedonia, Former Yugoslav Republic of Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexico Micronesia Moldova Monaco Mongolia Montserrat Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands Netherlands Antilles New Caledonia New Zealand Nicaragua Niger Nigeria Niue Norfolk Island North Korea Northern Mariana Islands Norway Oman Pakistan Palau Panama Papua New Guinea Paraguay Peru Philippines Pitcairn Islands Poland Portugal Puerto Rico Qatar Reunion Romania Russia Rwanda Samoa San Marino São Tomé and Prìncipe Saudi Arabia Senegal Serbia and Montenegro Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Georgia and the South Sandwich Islands Spain Sri Lanka St. Helena St. Kitts and Nevis St. Lucia St. Pierre and Miquelon St. Vincent and the Grenadines Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caicos Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Vatican City Venezuela Viet Nam Virgin Islands ( British ) Virgin Islands Wallis and Futuna Yemen Zambia Zimbabwe Brief description of investor Financial SuitabilityAccredited Investor: Earned income that exceeded $200,000 (or $300,000 together with a spouse) in each of the prior two years, and reasonably expects the same for the current year, OR has a net worth over $1 million, either alone or together with a spouse (excluding the value of the person’s primary residence). Entities such as banks, partnerships, corporations, nonprofits and trusts must have total assets in excess of $5 million. For more information please click here.Qualified Purchaser (QP): Any natural person who owns not less than $5 million in investments and $25 million for entities For more information please click here. Qualified Institutional Buyer (QIB): A corporation that is deemed to be an accredited investor which owns and invests a minimum of $100 million in investments on a discretionary basis. For more information please click here. Current Firmwide AUM Please select... $0 - $1MM $10 - $100MM $100 - $500MM $500 - $1B $1 - $10B $10 - $25B >$25B(US Dollars) Portfolio Size Please select... $0 -$10MM $10 - $50MM $50 - $250MM $250 - $500MM $500 - $1B >$1B(US Dollars) Typical Investment SizePlease select... $0 - $1MM $1MM - $5MM $5MM - $10MM $10MM - $50MM $50MM - $100MM >$100MM Investments you are interested in: Please select... Hedge Fund Managers Real Estate Fund Managers Private Credit Fund Managers Private Equity Fund Managers Venture Capital Fund Managers Long Only Fund Managers Direct Investment/Transaction Sponsor - Debt/Equity Direct Investment/Transaction Sponsor - Real Estate Direct Investment/Transaction Sponsor - OtherHold down Control to select multiple items Strategy Please select... Activist Arbitrage Buy-out Credit Directional - Long Bias Directional - Short Bias Distreseed Dividend Event Driven Fundamental Global Macro Growth Litigation Finance Long Only Long Short Market Neutral Merger Arb Momentum Multi Strategy Niche Passive Quantitative/Systematic Refinancing Sector focused Special Situations Statistical Tax Driven Trend Following Trend Teversion Value Investing Venture Volatility OtherHold down Control to select multiple items. Strategy Please select... Core Core-Plus Opportunistic Value-Added OtherHold down Control to select multiple items. Comments How did you hear about us?Search EngineEventReferralLinkedInOther Please provide referral name Please provide name of event Please explain if other Media Company Street Address City State / Province Zip/Postal Code CountryPlease select... United States Afghanistan Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroon Canada Cape Verde Cayman Islands Central African Republic Chad Chile China Christmas Island Cocos ( Keeling ) Islands Colombia Comoros Congo Cook Islands Costa Rica Côte d ' Ivoire Croatia ( Hrvatska ) Cuba Cyprus Czech Republic Congo ( DRC ) Denmark Djibouti Dominica Dominican Republic East Timor Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands ( Islas Malvinas ) Faroe Islands Fiji Islands Finland France French Guiana French Polynesia French Southern and Antarctic Lands Gabon Gambia Georgia Germany Ghana Gibraltar Greece Greenland Grenada Guadeloupe Guam Guatemala Guinea Guinea-Bissau Guyana Haiti Heard Island and McDonald Islands Honduras Hong Kong SAR Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Jamaica Japan Jordan Kazakhstan Kenya Kiribati Korea Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macao SAR Macedonia, Former Yugoslav Republic of Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexico Micronesia Moldova Monaco Mongolia Montserrat Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands Netherlands Antilles New Caledonia New Zealand Nicaragua Niger Nigeria Niue Norfolk Island North Korea Northern Mariana Islands Norway Oman Pakistan Palau Panama Papua New Guinea Paraguay Peru Philippines Pitcairn Islands Poland Portugal Puerto Rico Qatar Reunion Romania Russia Rwanda Samoa San Marino São Tomé and Prìncipe Saudi Arabia Senegal Serbia and Montenegro Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Georgia and the South Sandwich Islands Spain Sri Lanka St. Helena St. Kitts and Nevis St. Lucia St. Pierre and Miquelon St. Vincent and the Grenadines Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caicos Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Vatican City Venezuela Viet Nam Virgin Islands ( British ) Virgin Islands Wallis and Futuna Yemen Zambia Zimbabwe Main Phone Primary Point(s) of Contact First Name Last Name Title Email Address Phone Number LinkedIn URL Provide web address from LinkedIn profile You may add additional individuals by clicking "Add Person" below. Please describe the nature of your inquiry How did you hear about us?Search EngineEventReferralLinkedInOther Please provide referral name Please explain if other Please provide name of event Hidden Fields Edit this textPlease select... Choice A Choice B Choice C Capital Raising Inquiries Record Type IDPlease select... 01260000000LzK3 Mandate StagePlease select... 1.03 - Preliminary - Reverse Inquiry - Pending Response Account User IdPlease select... 005f2000006LZch 00560000001UD3N Mandate Source ChannelPlease select... Reverse Inquiry - Manager Inbox Tier RankingPlease select... Non-Tiered Fund Originating groupPlease select... 001300000013Dac Next Step Date Next StepPlease select... DM to review, provide summary and discuss distribution plan with MJS. Becoming an AP Group Record Type IDPlease select... 01260000000LzNg StagePlease select... Initial Contact Made Sub-typePlease select... Prospective AP Group StagePlease select... Initial Contact Made Next StepPlease select... SJ to follow-up inbound web inquiry Career Opportunities Account IDPlease select... 001f200001SYjgn Investor Seeking Opportunities Record Type of new recordPlease select... Investor Tier RankingPlease select... Non-Tiered Roadshow LocationPlease select... USA - NY / CT / NJ Sales Coverage RegionPlease select... East TypePlease select... Investor Record Type IDPlease select... 01260000000Lz8k Media Inquiry Record Type IDPlease select... 01260000000575s TypePlease select... Service Provider - Investment Related Contact Information LOCATION New York Headquarters 275 Madison Avenue, Suite 2002 New York, NY 10016 Located in Midtown NYC
