Fund Name: |
Altegris Private Markets Opportunities Fund |
Adviser: |
Altegris Advisors, L.L.C. |
Sub-Adviser(s): |
StepStone Group LP |
Fees: |
1.2% Management Fee |
Open- or Closed-End: |
Closed-End (Annual repurchase and quarterly secondary transfers commencing in third year of operation) |
Investor Restrictions: |
$25,000 minimum initial investment; $10,000 minimum subsequent investment |
Filing Date: |
Dec. 27, 2017 |
Effective Date: |
Dec. 27, 2017 |
|
|
Fund Name: |
OFI Carlyle Global Private Credit Fund |
Adviser: |
OC Private Capital, LLC |
Sub-Adviser(s): |
Not specified |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Minimum initial and subsequent investments not specified |
Filing Date: |
Dec. 15, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Tortoise Tax-Advantaged Essential Assets Interval Fund, Inc. |
Adviser: |
Tortoise Credit Strategies, LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Minimum initial and subsequent investments not specified |
Filing Date: |
Dec. 15, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
NB Crossroads Private Markets Fund V Holdings LP |
Adviser: |
Neuberger Berman Investment Advisers LLC |
Sub-Adviser(s): |
NB Alternatives Advisers LLC |
Fees: |
0.85% advisory fee from the Fund's commencement of operations through the end of year eight and then 0.30% for the remaining life of the Fund. |
Open- or Closed-End: |
Closed-End (Master Fund) |
Investor Restrictions: |
Accredited investor, qualified client; $50,000 minimum commitment |
Filing Date: |
Nov. 30, 2017 |
Effective Date: |
Nov. 30, 2017 |
|
|
Fund Name: |
NorthStar Real Estate Capital Income Fund-C |
Adviser: |
CNI RECF Advisors, LLC |
Sub-Adviser(s): |
None |
Fees: |
The Fund does not directly pay a management fee with respect to any period during which the only investment securities held by the Fund are those of the Master Fund. The Master Fund pays a management fee, calculated and paid quarterly in arrears, of 1.25% of the Master Fund's average daily net assets during such period. |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Feeder fund) |
Investor Restrictions: |
$4,000 minimum initial investment; $100 minimum subsequent investment (except for purchases made pursuant to the Trust's dividend reinvestment plan or as otherwise permitted by the Trust) |
Filing Date: |
Nov. 16, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Destra International & Event-Driven Credit Fund |
Adviser: |
Destra Capital Advisors LLC |
Sub-Adviser(s): |
BlueBay Asset Management LLP |
Fees: |
1.75% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Unspecified minimum initial investment |
Filing Date: |
Nov. 15, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Sierra Real Estate Fund |
Adviser: |
SREF Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
1.5% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$2,500 minimum initial investment for regular accounts, $1,000 for retirement accounts (Class A); $2,500 minimum initial investment for regular and retirement accounts (Class T, S and L); $100 minimum subsequent investment if made under Fund's automatic investment program, $1,000 minimum subsequent investment if not made under the Fund's automatic investment program (Class A, T, S and L); Unspecified minimum initial investment, no minimum subsequent investment (Class I). |
Filing Date: |
Nov. 13, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Goldman Sachs Private Markets Fund 2018 LLC |
Adviser: |
Goldman Sachs Asset Management, L.P. |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End |
Investor Restrictions: |
Accredited investor, U.S. person; $50,000 minimum investment |
Filing Date: |
Oct. 12, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Infinity Long/Short Equity Fund LLC |
Adviser: |
Infinity Capital Advisors, LLC |
Sub-Adviser(s): |
None |
Fees: |
1.25% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
Accredited investor; $25,000 minimum initial investment, $10,000 minimum subsequent investment |
Filing Date: |
Oct. 4, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
OFS Credit Company |
Adviser: |
OFS Capital Management, LLC |
Sub-Adviser(s): |
None |
Fees: |
1.75% Management Fee |
Open- or Closed-End: |
Closed-End (Exchange traded - NASDAQ Global Select Market) |
Investor Restrictions: |
None |
Filing Date: |
Oct. 4, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Calamos Long/Short Equity Income 2028 Term Trust |
Adviser: |
Calamos Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
1.10% Management Fee |
Open- or Closed-End: |
Closed-End (Exchange traded - NASDAQ Global Select Market) |
Investor Restrictions: |
None |
Filing Date: |
Sept. 22, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Cushing MLP Infrastructure Fund |
Adviser: |
Cushing Asset Management, LP |
Sub-Adviser(s): |
None |
Fees: |
1% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$2,000 minimum initial investment (Class A and C), $250 minimum initial investment (Individual retirement accounts), $250,000 minimum initial investment (Class I); $100 minimum subsequent investment (All share classes) |
Filing Date: |
Sept. 19, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Angel Oak Strategic Credit Fund |
Adviser: |
Angel Oak Capital Advisors LLC |
Sub-Adviser(s): |
None |
Fees: |
1.25% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$50,000 minimum initial investment |
Filing Date: |
Sept. 15, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
IBAA Fund |
Adviser: |
IBAA |
Sub-Adviser(s): |
None |
Fees: |
1.5% Management Fee |
Open- or Closed-End: |
Closed-End (Exchange traded - NYSE) |
Investor Restrictions: |
Qualified clients; $50,000 minimum initial investment, $10,000 minimum subsequent investment |
Filing Date: |
Sept. 5, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Harvest Volatility Absolute Fund |
Adviser: |
Harvest Volatility Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$2,500 minimum initial investment for investor class shares, $1,000 for retirement and education savings accounts and $1,500 for automatic investment plan accounts; $25,000 minimum initial investment for institutional class shares; $100 minimum subsequent investment (all accounts). |
Filing Date: |
Sept.1, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Harvest Edge Equity Fund |
Adviser: |
Harvest Volatility Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$2,500 minimum initial investment for investor class shares, $1,000 for retirement and education savings accounts and $1,500 for automatic investment plan accounts; $25,000 minimum initial investment for institutional class shares; $100 minimum subsequent investment (all accounts). |
Filing Date: |
Sept.1, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Harvest Edge Bond Fund |
Adviser: |
Harvest Volatility Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual Fund) |
Investor Restrictions: |
$2,500 minimum initial investment for investor class shares, $1,000 for retirement and education savings accounts and $1,500 for automatic investment plan accounts; $25,000 minimum initial investment for institutional class shares; $100 minimum subsequent investment (all accounts). |
Filing Date: |
Sept.1, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
BlackRock Multi-Sector Opportunities Trust Series I |
Adviser: |
BlackRock Advisors LLC |
Sub-Adviser(s): |
BlackRock International Limited and BlackRock (Singapore) Limited |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Feeder fund) |
Investor Restrictions: |
Minimum investment levels not specified |
Filing Date: |
Aug. 31, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Orinda Preferred Yield Plus Fund |
Adviser: |
Orinda Asset Management LLC |
Sub-Adviser(s): |
Not specified |
Fees: |
1.25% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$10,000 minimum initial investment (Class A); $50,000 minimum initial investment (Class I); No minimum subsequent investment (Class A or I) |
Filing Date: |
Aug. 18, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
WCM Alternatives: Credit Event Fund |
Adviser: |
Westchester Capital Management LLC |
Sub-Adviser(s): |
None |
Fees: |
1.25% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$2,000 minimum initial investment, no minimum subsequent investment (Investor Class Shares); $1 million minimum initial investment, $500 minimum subsequent investment (Institutional Class Shares) |
Filing Date: |
Aug. 8, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Oppenheimer SteelPath MLP & Energy Infrastructure Fund |
Adviser: |
OFI SteelPath Inc. |
Sub-Adviser(s): |
Not specified |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1,000 minimum initial investment; $500 minimum initial investment for Traditional and Roth IRA, Asset Builder Plan, Automatic Exchange Plan and government allotment plan accounts; $1 million minimum initial investment for Class I shares; No minimum subsequent investment |
Filing Date: |
Aug. 1, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
T. Rowe Price Capital Appreciation & Income Fund, Inc. |
Adviser: |
T. Rowe Price Associates, Inc. |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$2,500 minimum initial investment ($1,000 for retirement accounts), $100 minimum subsequent investment (Investor Class); $1 million minimum initial investment, no minimum subsequent investment (I Class); Advisor Class shares may generally only be purchased through a financial intermediary or retirement plan. |
Filing Date: |
July 6, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Highland Global Allocation Fund II |
Adviser: |
Highland Capital Management Fund Advisors, L.P. |
Sub-Adviser(s): |
Not specified |
Fees: |
0.4% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$500 minimum initial investment by mail ($1,000 by wire), $100 minimum subsequent investment by mail ($1,000 by wire) for Class A and C Shares; No minimum initial or subsequent investment amounts for Class Y Shares. |
Filing Date: |
June 30, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Highland Floating Rate Opportunities Fund II |
Adviser: |
Highland Capital Management Fund Advisors, L.P. |
Sub-Adviser(s): |
Not specified |
Fees: |
0.65% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$2,500 minimum initial investment; $50 minimum subsequent investment |
Filing Date: |
June 30, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Blackstone/GSO Floating Rate Enhanced Income Fund |
Adviser: |
GSO/Blackstone Debt Funds Management LLC |
Sub-Adviser(s): |
None |
Fees: |
Management fee at an annual rate equal to 1% of the average daily value of the Fund's net assets |
Open- or Closed-End: |
Closed-End (Monthly repurchase - subject to receipt of exemptive relief) |
Investor Restrictions: |
$10,000 minimum initial investment; $1,000 minimum subsequent investment |
Filing Date: |
June 30, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Columbia Variable Portfolio - Managed Risk U.S. Fund |
Adviser: |
Columbia Management Investment Advisers LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
The Fund is available for purchase through Contracts offered by the separate accounts of participating insurance companies or by other eligible investors authorized by Columbia Management Investment Distributors Inc. |
Filing Date: |
June 26, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Columbia Variable Portfolio - Managed Risk Global Fund |
Adviser: |
Columbia Management Investment Advisers LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
The Fund is available for purchase through Contracts offered by the separate accounts of participating insurance companies or by other eligible investors authorized by Columbia Management Investment Distributors Inc. |
Filing Date: |
June 26, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
AIP Alternative Lending Fund A |
Adviser: |
Morgan Stanley AIP GP LP |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Master Fund) |
Investor Restrictions: |
Accredited investor; $50,000 minimum initial investment, $25,000 minimum subsequent investment |
Filing Date: |
June 22, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
AIP Alternative Lending Fund P |
Adviser: |
Morgan Stanley AIP GP LP |
Sub-Adviser(s): |
None |
Fees: |
Not specified (Investors are indirectly subject to the Master Fund's management fee) |
Open- or Closed-End: |
Closed-End (Quarterly repurchase; Feeder fund) |
Investor Restrictions: |
Accredited investor; $50,000 minimum initial investment, $25,000 minimum subsequent investment |
Filing Date: |
June 22, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
T. Rowe Price Multi-Strategy Total Return Fund, Inc. |
Adviser: |
T. Rowe Price Associates, Inc. |
Sub-Adviser(s): |
None |
Fees: |
1% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
For Investor and Advisor Class Shares: $2,500 minimum initial investment ($1,000 minimum initial investment if opening an IRA, a custodial account for a minor, or a small business retirement plan account), $100 minimum subsequent investment; For Class I Shares: $1,000,000 minimum initial investment, no minimum subsequent investment |
Filing Date: |
June 9, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Nuveen Emerging Markets Debt 2022 Target Term Fund |
Adviser: |
Nuveen Fund Advisors LLC |
Sub-Adviser(s): |
Teachers Advisors LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
June 9, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
NorthStar Real Estate Capital Income Fund-ADV |
Adviser: |
CNI RECF Advisors LLC |
Sub-Adviser(s): |
None specified |
Fees: |
Management fee paid at the Master Fund level - fee calculated at an annual rate of 1.25% of the Master Fund's average daily net assets. |
Open- or Closed-End: |
Closed-End (Feeder fund) |
Investor Restrictions: |
$4,000 minimum initial investment, $100 minimum subsequent investment |
Filing Date: |
June 1, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Putnam PanAgora Managed Futures Fund |
Adviser: |
Putnam Investment Management LLC |
Sub-Adviser(s): |
PanAgora Asset Management Inc. |
Fees: |
1% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$500 minimum initial investment (currently waived; Putnam reserves the right to reject initial investments of less than $500 at its discretion) |
Filing Date: |
May 23, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
PanAgora Market Neutral Fund |
Adviser: |
Putnam Investment Management LLC |
Sub-Adviser(s): |
PanAgora Asset Management Inc. |
Fees: |
1.3% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$500 minimum initial investment (currently waived; Putnam reserves the right to reject initial investments of less than $500 at its discretion) |
Filing Date: |
May 23, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Putnam PanAgora Risk Parity Fund |
Adviser: |
Putnam Investment Management LLC |
Sub-Adviser(s): |
PanAgora Asset Management Inc. |
Fees: |
0.75% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$500 minimum initial investment (currently waived; Putnam reserves the right to reject initial investments of less than $500 at its discretion) |
Filing Date: |
May 23, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Vivaldi Opportunities Fund |
Adviser: |
Vivaldi Asset Management LLC |
Sub-Adviser(s): |
RiverNorth Capital Management LLC and Angel Oak Capital Advisors LLC |
Fees: |
Management fee payable on a monthly basis at the annual rate of 1.4% of the Fund's average daily Managed Assets. |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
$1,500 minimum initial investment, $500 minimum subsequent investment |
Filing Date: |
May 22, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Invesco High Income 2024 Target Term Fund |
Adviser: |
Invesco Advisers Inc. |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
May 10, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Tortoise Essential Assets Income 2024 Term Fund |
Adviser: |
Tortoise Capital Advisors LLC |
Sub-Adviser(s): |
Tortoise Credit Strategies LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
April 24, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
XAI Octagon Floating Rate Income & Credit Alternative Trust |
Adviser: |
XA Investments LLC |
Sub-Adviser(s): |
Octagon Credit Investors LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Not specified |
Filing Date: |
April 7, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
USQ Core Real Estate Fund |
Adviser: |
Union Square Capital Partners LLC |
Sub-Adviser(s): |
None |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$2,500 minimum initial investment, $100 minimum subsequent investment (Class IS); $25,000 minimum initial investment, $100 minimum subsequent investment (Class I) |
Filing Date: |
April 6, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
NB Crossroads Private Markets Fund V (TE) |
Adviser: |
Neuberger Berman Investment Advisers LLC |
Sub-Adviser(s): |
NB Alternatives Advisers LLC |
Fees: |
The Fund, through its investment in the Master Fund, will indirectly bear the management fees and carried interest allocations (or equivalent) of the Portfolio Funds; the expenses of the Portfolio Funds, including without limitation, investment-related expenses, non-investment related interest expense, administrative expenses and fees and disbursements of attorneys and accountants engaged on behalf of the Portfolio Fund and other ordinary and extraordinary expenses. |
Open- or Closed-End: |
Closed-End (Feeder fund) |
Investor Restrictions: |
Accredited investors and qualified clients; $50,000 minimum investment |
Filing Date: |
March 31, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
FS Global Credit Opportunities Fund-T2 |
Adviser: |
FS Global Advisor LLC |
Sub-Adviser(s): |
GSO Capital Partners LP |
Fees: |
Management Fee calculated and payable quarterly in arrears at the annual rate of 2% of the Fund's average daily gross assets during such period. |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$5,000 minimum initial investment, $500 minimum subsequent investment; Investors are required to have either: (i) a net worth - not including home, furnishings and personal automobiles - of at least $70,000 and an annual gross income of at least $70,000; or (ii) a net worth - not including home, furnishings and personal automobiles - of at least $250,000. |
Filing Date: |
March 28, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
AllianzGI Convertible & Income 2024 Target Term Fund |
Adviser: |
Allianz Global Investors U.S. LLC |
Sub-Adviser(s): |
Not specified |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
March 24, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Eaton Vance Floating-Rate 2024 Target Term Trust |
Adviser: |
Eaton Vance Management |
Sub-Adviser(s): |
Not specified |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
March 17, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
American Beacon Institutional Funds Trust |
Adviser: |
American Beacon Advisors Inc. |
Sub-Adviser(s): |
Aristotle Capital Management LLC; Barrow, Hanley, Mewhinney & Strauss LLC; Brandywine Global Investment Management LLC; Hotchkis & Wiley Capital Management LLC; Lazard Asset Management LLC; and Templeton Investment Counsel LLC. |
Fees: |
Aggregate annualized management fee equal to 0.31% of the Fund's average daily net assets. |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
Accredited investor and qualified purchaser; $100,000 minimum initial investment |
Filing Date: |
March 17, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Morningstar Funds Trust |
Adviser: |
Morningstar Investment Management LLC |
Sub-Adviser(s): |
Not specified |
Fees: |
Not specified |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
No initial or subsequent minimum purchase amounts. |
Filing Date: |
March 6, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
THL Credit Senior Loan 2024 Term Fund |
Adviser: |
Four Wood Capital Advisors LLC |
Sub-Adviser(s): |
THL Credit Advisors LLC |
Fees: |
Not specified |
Open- or Closed-End: |
Closed-End (Exchange traded) |
Investor Restrictions: |
Minimum investment of 100 common shares |
Filing Date: |
Feb. 27, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
AlphaCentric Prime Meridian Income Fund |
Adviser: |
Alphacentric Advisors LLC |
Sub-Adviser(s): |
Prime Meridian Capital Management LLC |
Fees: |
1.5% Management Fee |
Open- or Closed-End: |
Closed-End (Quarterly repurchase) |
Investor Restrictions: |
$2,500 minimum initial investment for regular accounts, $1,000 for retirement plan accounts; $100 minimum subsequent investment if made through an automatic investment program, $1,000 for subsequent investments not made through an automatic investment program. |
Filing Date: |
Feb. 13, 2017 |
Effective Date: |
Pending |
|
|
Fund Name: |
Day Hagan Hedged Strategy Fund |
Adviser: |
Donald L. Hagan LLC |
Sub-Adviser(s): |
Pacini Hatfield Investments LLC |
Fees: |
1.75% Management Fee |
Open- or Closed-End: |
Open-End (Mutual fund) |
Investor Restrictions: |
$1,000 minimum initial investment for regular and IRA accounts, $100 for automatic investment plan accounts; $50 minimum subsequent investment (Class T) |
Filing Date: |
Feb. 1, 2017 |
Effective Date: |
Pending |