Fund Name: |
Direct Lending Income Fund |
Adviser: |
Direct Lending Income Fund Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
1% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$25,000 minimum initial investment; $5,000 minimum subsequent investment |
Filing Date: |
Dec. 31, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Stone Ridge Trust V |
Adviser: |
Stone Ridge Asset Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$15 million minimum initial investment for institutional investors and their clients; No minimum for other client groups |
Filing Date: |
Dec. 11, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Sound Point Alternative Income Fund |
Adviser: |
Sound Point Capital Management LP |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
None specified |
Filing Date: |
Dec. 11, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
NorthStar Global Corporate Income Master Fund |
Adviser: |
NSAM B-CEF Ltd. |
Sub-Adviser(s): |
OZ Institutional Credit Management LP |
Fees: |
2% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Master fund) |
Investor Restrictions: |
Accredited investor |
Filing Date: |
Dec. 7, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
NorthStar Global Corporate Income Fund-T |
Adviser: |
NSAM B-CEF Ltd. |
Sub-Adviser(s): |
OZ Institutional Credit Management LP |
Fees: |
Master fund pays 2% management fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Feeder fund) |
Investor Restrictions: |
$4,000 minimum initial investment; $500 minimum subsequent investment |
Filing Date: |
Nov. 25, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
NB Crossroads Private Markets Fund IV |
Adviser: |
Neuberger Berman Management LLC |
Sub-Adviser(s): |
NB Alternatives Advisers LLC |
Fees: |
Master fund pays 0.10% during the first 12 months following the fund's commencement of operations; 0.55% beginning in year two through the end of year eight from the commencement of operations; and 0.30% for the remaining life of the fund based on the investor's total commitments. |
Open- or Closed-End: |
Closed-End (Feeder fund) |
Investor Restrictions: |
Accredited investors and qualified clients |
Filing Date: |
Nov. 19, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
GuideMark Alternative Lending Income Fund |
Adviser: |
AssetMark Inc. |
Sub-Adviser(s): |
Not specified |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
None specified |
Filing Date: |
Nov. 13, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Elkhorn Dorsey Wright Tactical Equity Income Fund |
Adviser: |
Elkhorn Investments LLC |
Sub-Adviser(s): |
Dorsey Wright and Associates Inc. |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
Oct. 30, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Castlemaine Emerging Markets Opportunities Fund |
Adviser: |
Castlemaine LLC |
Sub-Adviser(s): |
None |
Fees: |
1.24% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1 million minimum initial investment |
Filing Date: |
Oct. 13, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Castlemaine Event Driven Fund |
Adviser: |
Castlemaine LLC |
Sub-Adviser(s): |
None |
Fees: |
1.24% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1 million minimum initial investment |
Filing Date: |
Oct. 13, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Castlemaine Long/Short Fund |
Adviser: |
Castlemaine LLC |
Sub-Adviser(s): |
None |
Fees: |
1.24% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1 million minimum initial investment |
Filing Date: |
Oct. 13, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Castlemaine Market Neutral Fund |
Adviser: |
Castlemaine LLC |
Sub-Adviser(s): |
None |
Fees: |
1.24% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1 million minimum initial investment |
Filing Date: |
Oct. 13, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Castlemaine Multi-Strategy Fund |
Adviser: |
Castlemaine LLC |
Sub-Adviser(s): |
None |
Fees: |
1.24% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1 million minimum initial investment |
Filing Date: |
Oct. 13, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Catalyst Hedged Commodity Strategy Fund |
Adviser: |
Catalyst Capital Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
1.75% management fee |
Open- or Closed-End: |
Open-end (mutual fund) |
Investor Restrictions: |
$2,500 minimum initial investment, $100 minimum subsequent investment |
Filing Date: |
May 5, 2015 |
Effective Date: |
Aug. 14, 2015 |
|
|
Fund Name: |
Catalyst IPOx Allocation Fund |
Adviser: |
Catalyst Capital Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
1.50% management fee |
Open- or Closed-End: |
Open-end (mutual fund) |
Investor Restrictions: |
$2,500 minimum initial investment, $100 minimum subsequent investment |
Filing Date: |
May 5, 2015 |
Effective Date: |
Aug. 14, 2015 |
|
|
Fund Name: |
Palmer Square Strategic Finance Fund |
Adviser: |
Palmer Square Capital Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not Specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$5 million minimum initial investment; $2,500 minimum subsequent investment |
Filing Date: |
Sept. 21, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Total Income+ Mortgage Fund |
Adviser: |
Bluerock Fund Advisor LLC |
Sub-Adviser(s): |
None |
Fees: |
1.5% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$1 million minimum initial investment (Class I); $2,500 minimum initial investment for regular accounts; $1,000 minimum initial investment for retirement plan accounts (Class A and C) |
Filing Date: |
Sept. 17, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Cushing MLP Infrastructure Fund II |
Adviser: |
Cushing Asset Management LP |
Sub-Adviser(s): |
None |
Fees: |
1% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Feeder fund) |
Investor Restrictions: |
Accredited investors |
Filing Date: |
Sept. 1, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
CPG York Event Driven Strategies |
Adviser: |
Central Park Advisers LLC |
Sub-Adviser(s): |
None |
Fees: |
0.65% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Accredited investors |
Filing Date: |
Aug. 10, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Series Portfolio Trust |
Adviser: |
Weiss Multi-Strategy Advisers LLC |
Sub-Adviser(s): |
None |
Fees: |
1.6% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$250,000 minimum initial investment (Class I); $2 million minimum initial investment (Class K) |
Filing Date: |
Aug. 7, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Ivy Apollo Strategic Income Fund |
Adviser: |
Ivy Investment Management Company |
Sub-Adviser(s): |
Apollo Credit Management LLC |
Fees: |
0.68% of net assets up to $1 billion; 0.62% of net assets over $1 billion and up to $2 billion; 0.58% of net assets over $2 billion and up to $3 billion; and 0.57% of net assets over $3 billion. |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$750 minimum initial investment. |
Filing Date: |
Sept. 30, 2015 |
Effective Date: |
Oct. 1, 2015 |
|
|
Fund Name: |
Ivy Apollo Multi-Asset Income Fund |
Adviser: |
Ivy Investment Management Company |
Sub-Adviser(s): |
Apollo Credit Management LLC |
Fees: |
0.70% of net assets up to $1 billion; 0.65% of net assets over $1 billion and up to $2 billion; 0.61% of net assets over $2 billion and up to $3 billion; and 0.58% of net assets over $3 billion. |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$750 minimum initial investment. |
Filing Date: |
Sept. 30, 2015 |
Effective Date: |
Oct. 1, 2015 |
|
|
Fund Name: |
TCW/Carlyle Liquid Tactical Fund |
Adviser: |
TCW Investment Management Company |
Sub-Adviser(s): |
Carlyle Liquid Market Solutions |
Fees: |
Not Specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
None |
Filing Date: |
July 16, 2015 |
Effective Date: |
Sept. 29, 2015 |
|
|
Fund Name: |
TCW/Carlyle Trend Following Fund |
Adviser: |
TCW Investment Management Company |
Sub-Adviser(s): |
Carlyle Liquid Market Solutions |
Fees: |
Not Specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
None |
Filing Date: |
July 16, 2015 |
Effective Date: |
Sept. 29, 2015 |
|
|
Fund Name: |
TCW/Carlyle Absolute Return Fund |
Adviser: |
TCW Investment Management Company |
Sub-Adviser(s): |
Carlyle Liquid Market Solutions |
Fees: |
Not Specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
None |
Filing Date: |
July 16, 2015 |
Effective Date: |
Sept. 29, 2015 |
|
|
Fund Name: |
Guggenheim Global Equity Income Fund |
Adviser: |
Guggenheim Funds Investment Advisors LLC |
Sub-Adviser(s): |
Guggenheim Partners Investment Management LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Periodic repurchase) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
July 2, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Cushing MLP Infrastructure Master Fund |
Adviser: |
Cushing Asset Management LP |
Sub-Adviser(s): |
None |
Fees: |
1% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Accredited investors |
Filing Date: |
June 30, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
RiverNorth Marketplace Lending Corp. |
Adviser: |
RiverNorth Capital Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
None specified |
Filing Date: |
June 11, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Ramius Archview Event Credit Feeder Fund |
Adviser: |
Ramius Advisors LLC |
Sub-Adviser(s): |
Archview Investment Group LP |
Fees: |
1.5% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$25,000 minimum initial investment; $10,000 minimum subsequent additional investment. Qualified investors only. |
Filing Date: |
June 5, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
RiverNorth Multi-Strategy Arbitrage Fund |
Adviser: |
RiverNorth Capital Management LLC (Closed-End Fund Arbitrage Strategy) |
Sub-Adviser(s): |
Vivaldi Asset Management LLC (Merger Arbitrage Strategy) and Linden Advisors LP (Convertible/Credit Strategy) |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
None specified |
Filing Date: |
May 28, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Multi-Strategy Alternative Income Fund |
Adviser: |
Lucia Capital Management |
Sub-Adviser(s): |
None |
Fees: |
1.5% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$2,500 minimum initial investment (Class A, L and C); $1 million minimum (Class I) |
Filing Date: |
May 19, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Guggenheim Energy & Income Fund |
Adviser: |
Guggenheim Funds Investment Advisors LLC |
Sub-Adviser(s): |
Guggenheim Partners Investment Management LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Minimum investment of 25 common shares |
Filing Date: |
May 15, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Oppenheimer Global Multi-Asset Growth Fund |
Adviser: |
OFI Global Asset Management Inc. |
Sub-Adviser(s): |
OppenheimerFunds Inc. (Sub-sub-advisors: Cornerstone Real Estate Advisers LLC and OFI SteelPath Inc.) |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1,000 minimum initial investment for most share classes; $5 million minimum per account of Class I shares |
Filing Date: |
May 1, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Hays U.S. Opportunity Fund |
Adviser: |
Hays Capital Management LLC |
Sub-Adviser(s): |
None |
Fees: |
0.85% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$10,000 minimum (Class A, C, N shares), $1,000 for retirement accounts; $100,000 minimum (Class I shares), $5,000 for retirement accounts. |
Filing Date: |
April 24, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Hays Tactical Multi-Asset Fund |
Adviser: |
Hays Capital Management LLC |
Sub-Adviser(s): |
None |
Fees: |
0.85% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$10,000 minimum (Class A, C, N shares), $1,000 for retirement accounts; $100,000 minimum (Class I shares), $5,000 for retirement accounts. |
Filing Date: |
April 24, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Fintan Alternative Fixed Income Master Fund |
Adviser: |
Fintan Partners LLC |
Sub-Adviser(s): |
None |
Fees: |
0.75% Management Fee |
Open- or Closed-End: |
Closed-End (Non-listed) |
Investor Restrictions: |
None |
Filing Date: |
April 14, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Fintan Alternative Fixed Income Advisory Fund |
Adviser: |
Fintan Partners LLC |
Sub-Adviser(s): |
None |
Fees: |
0.75% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; non-listed) |
Investor Restrictions: |
Accredited investor; $25,000 minimum initial investment, $10,000 minimum subsequent investment |
Filing Date: |
April 14, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Fintan Alternative Fixed Income Institutional Fund |
Adviser: |
Fintan Partners LLC |
Sub-Adviser(s): |
None |
Fees: |
0.75% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; non-listed) |
Investor Restrictions: |
Accredited investor; $25,000 minimum initial investment, $10,000 minimum subsequent investment |
Filing Date: |
April 14, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
TSC/Richard Bernstein Global Thematic Micro-Cap Fund |
Adviser: |
Radiance Asset Management LLC |
Sub-Adviser(s): |
Richard Bernstein Advisors LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
500 shares of common stock; $25,000 Minimum |
Filing Date: |
April 3, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Triloma EIG Global Energy Term Fund I |
Adviser: |
Triloma Energy Advisors LLC |
Sub-Adviser(s): |
EIG Credit Management Company LLC |
Fees: |
2% Management Fee; 20% Performance Fee |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
$5,000 Minimum |
Filing Date: |
March 30, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Archstone Alternative Solutions Fund |
Adviser: |
Archstone Advisory Management LLC |
Sub-Adviser(s): |
None |
Fees: |
1.2% up to (and including) $1B; 1.1% over $1B and up to (and including) $5B; 1.0% over $5B. |
Open- or Closed-End: |
Closed-End (Possible quarterly repurchase of up to 20%) |
Investor Restrictions: |
Accredited investor |
Filing Date: |
March 19, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Tekla World Healthcare Fund |
Adviser: |
Tekla Capital Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Repurchase at least annually) |
Investor Restrictions: |
None |
Filing Date: |
March 10, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
BNY Mellon Absolute Insight Funds |
Adviser: |
The Dreyfus Corporation |
Sub-Adviser(s): |
Pareto Investment Management Ltd. |
Fees: |
Not Specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
None |
Filing Date: |
March 3, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
TCW/Gargoyle Hedged Value Fund |
Adviser: |
TCW Investment Management Company |
Sub-Adviser(s): |
Gargoyle Investment Advisor LLC |
Fees: |
0.9% Annually |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
None |
Filing Date: |
March 10, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
The Gabelli Go Anywhere Trust |
Adviser: |
Gabelli Funds LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Total return fund) |
Investor Restrictions: |
$5,000 Minimum |
Filing Date: |
March 3, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Vanguard Alternative Strategies Fund |
Adviser: |
The Vanguard Group Inc. |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
Institutional Investors; $250,000 Minimum |
Filing Date: |
Feb. 27, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Context Fundamental Value Long/Short Fund |
Adviser: |
Context Advisers III LLC |
Sub-Adviser(s): |
Omega Advisors Inc. |
Fees: |
2% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase of 5% of outstanding shares) |
Investor Restrictions: |
Qualified clients; $25,000 Minimum |
Filing Date: |
Feb. 17, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
Terra Income Fund 6 |
Adviser: |
Terra Income Advisors |
Sub-Adviser(s): |
None |
Fees: |
3% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Net worth of at least $70,000 and annual gross income of at least $70,000, or a net worth of at least $250,000. $5,000 Minimum. |
Filing Date: |
March 3, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
CNL Energy Total Return Fund |
Adviser: |
CNL Energy Fund Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
Not Specified |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
$5,000 Minimum ($4,000 for qualified plans) |
Filing Date: |
Feb. 27, 2015 |
Effective Date: |
Pending |
|
|
Fund Name: |
First Trust Securities Convertible Income Fund |
Adviser: |
First Trust Advisors |
Sub-Adviser(s): |
SSI Investment Management |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
None specified |
Filing Date: |
Jan. 5, 2015 |
Effective Date: |
Pending |