Preferred Solutions
NorthStar
Gemini's parent company, NorthStar Financial Services Group, LLC is empowering investment
advisors through innovation, expertise, and integrity. They are a holding company
for several subsidiaries which manage and service financial assets, based in Omaha,
Nebraska. Visit them on the web at
www.nstar-financial.com
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Associations
NAAIM
The National Association of Active Investment Managers (“NAAIM”) was formed in 1989
as a non-profit association of registered investment advisors who provide active
money management services to their clients, in order to produce favorable risk-adjusted
returns as an alternative to more passive, buy and hold strategies. NAAIM has grown
to include roughly 200 member firms nationwide, managing an estimated $14 billion.
NAAIM's purpose is to promote the common interests of those investment advisors
who provide active investment management services to clients. Visit them on the
web at www.naaim.org.
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Auditors
Cohen Fund Audit Services
Cohen Fund Audit Services, Ltd. performs audit and other attest and tax services
for mutual funds, hedge funds and investment partnerships, broker/dealers, and investment
advisers. We service a national base of clients ranging from newly seeded funds
to well-established, multiple-fund families. One hundred percent of our clients
are companies in the investment industry. That's a level of focus every client can
depend upon and few competitors can match. For more information, visit them online
at www.cohenfund.com.
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Tait, Weller & Baker LLP
Tait, Weller & Baker LLP offers accounting, auditing, tax, financial planning, management
consulting and information technology services to clients of varying sizes in a
variety of industries. They have been referred to as an "Investment Company Boutique"
for their concentration of services to the investment company industry. Tait, Weller
& Baker LLP is small enough to be accessible yet large enough to maintain the resources
their clients require. They have a national client base in the investment company
industry which they feel is testimony to their industry experience and commitment
to client service. For more information, visit www.taitweller.com.
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Brokerage Services
Ceros Financial Services
Ceros Financial Services is a broker/dealer custody platform provider designed to
give Registered Investment Advisors and their clients a highly specialized brokerage
alternative. Visit them on the web at
www.cerosfs.com
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NorthPoint Trading Partners
NorthPoint Trading Partners, a member company of ConvergEx Group, provides Prime
Brokerage services to Hedge Funds, Family Offices, Mutual Funds, and Registered
Investment Advisors. By combining boutique firm service and pricing, with professional
clearing and Prime Brokerage services, NorthPoint clients get a package that, previously,
only the largest institutions could access. Learn more by visiting www.nptradingpartners.com.
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Silver Leaf Partners
Silver Leaf Partners is an SEC registered broker-dealer and a member of FINRA, NFA
and SIPC providing marketing and brokerage solutions to over 150 traditional and
alternative investment advisors worldwide. Services includes: Trade Execution; Custody
& Clearing; Prime Brokerage; and Capital Introduction. Please visit them on the
web at www.silverleafpartners.com
for more information.
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WallachBeth Capital LLC
WallachBeth Capital LLC is an institutional brokerage specializing in exchange-listed
options and ETF’s. They operate on a fully-disclosed, agency-only basis while serving
the needs of institutional managers, premiere hedge funds, sell-side trading desks,
and sophisticated professionals trading in the wide-spectrum of exchange-listed
equity options, listed and OTC equities, ETF’s, and non-US equities. For more information,
visit them online at www.wallachbeth.com.
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Chief Compliance Officers
Northern Lights Compliance Services, LLC
A subsidiary of NorthStar Financial Services Group, LLC, Northern Lights Compliance
Services, LLC, is a team of experts formed specifically to serve as Chief Compliance
Officers for investment companies on an independent consulting basis. Visit them
on the web at www.nlcompliance.com
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Custodians
Constellation Trust Company
An affiliate of NorthStar Financial Services Group, LLC, Constellation Trust Company
provides best-in-class custody and administration services to Registered Investment
Advisors, Financial Institutions and their clients by providing efficient back-office
servicing for mutual funds, variable annuities, and brokerage accounts. Visit them
on the web at www.constellationtrust.com
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FifthThird Bank
Fifth Third Global Securities Services, through its product known as CUSTODY PLUS,
provides Domestic and International Custody as well as a suite of investment services
to mutual funds and other organizations nationwide. Together, Gemini and Fifth
Third Global Securities Services can exceed the servicing expectations of any mutual
fund group. For more information, please contact Mike Dailey at 866-719-0014.
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Union Bank
Union Bank has focused on providing fully integrated institutional securities services
for nearly a century. We provide a comprehensive suite of services including: global
and domestic custody, securities lending, foreign exchange, and cash management.
We serve each client with a dedicated relationship manager, offer leading technology
and operational solutions that help clients meet their unique needs. Visit them
on the web at www.unionbank.com.
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Fund Distributors
Northern Lights Distributors, LLC
A subsidiary of NorthStar Financial Services Group, LLC, Northern Lights Distributors,
LLC offers seamless integration of distribution and marketing services at a reasonable
price and talented compliance officers that guide clients through the endless web
of regulations and help you develop, activate, and market your fund. Visit them
on the web at www.nldistributors.com
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Outside Counsel
Bernstein Shur
The Securities and Financial Services Industry Group at Bernstein Shur offers representation
to industry participants on the full spectrum of securities regulatory, compliance,
and transactional matters, including counseling on capital structure, key governance
matters, fiduciary responsibilities, no-action and exemptive relief, and defense
of SEC investigations and enforcement matters. The group has expertise in handling
matters involving public and private issuers, banks, mutual funds, hedge funds,
investment advisers, broker-dealers, fund industry service providers, and diversified
financial institutions. For more information, you can contact Tom Sheehan at
tsheehan@bernsteinshur.com or 207-228-7165 or you can visit them online.
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Thompson Hine LLP
Thompson Hine LLP lawyers serve as counselors, advisors and advocates to a full
spectrum of clients ranging from major public and private corporations to financial
institutions, governments, nonprofit organizations, venture capitalists and individual
entrepreneurs. They have the experience and resources to handle the most challenging
legal issues their clients may face. Visit them on the Web at www.thompsonhine.com.
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Technology Providers
Orion
A subsidiary of NorthStar Financial Service Group, LLC, Orion Advisor Services,
LLC empowers advisors with the most comprehensive back-office solution available
- a service bureau and portfolio management system that is customizable to fit your
business model and scalable to meet your growing needs. Visit them on the web at
www.orionadvisor.com.
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Reflow
Reflow's tools help mutual fund managers measurably increase performance through
greater control by balancing shareholder flows, improving cash management and optimizing
transactions and taxes. Reflow is available in the United States and Luxembourg.
Visit them on the web at www.reflow.com
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RIA Database
RIA Database is a searchable, Web-based database of over 28,000 Registered Investment
Advisors (RIA's), 90,000 RIA contacts and over 20,000 RIA email addresses. RIA Database
boasts extensive data collection from multiple sources, relevant search criteria,
unlimited download capabilities, and an easy-to-use interface. Visit them on the
web at www.riadatabase.com
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Third Party Marketers
3PM
The Third Party Marketers Association (“3PM”) was formed to maintain a standard
of excellence in the industry and to share information and ideas among independent
sales and marketing firms. 3PM also serves to guide investment managers in understanding
the role of third party marketers as partners in raising assets under management
and in identifying companies to work with. To find out more, visit www.3pm.org.
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