Public Alternative Funds Archive - 2015: UPDATED

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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

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

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