Our Partners

Successful ventures are ones that utilize experts throughout management and operational functions. Gemini Fund’s open architecture systems allow us to work easily and efficiently with an advisor’s existing partners. Our extensive industry connections can provide advisors with expert resources in the areas of audit, custody, legal, trade execution, and third-party marketing. Gemini Fund assists advisors in finding the appropriate partners to support their individual needs.

Associations

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.

www.3pm.org

Greater Cincinnati Mutual Funds Association

The Greater Cincinnati Mutual Funds Association, Inc. is a non-profit organization designed to provide mutual fund professionals a forum to share ideas, exchange information, network, and develop skills to help bring success to their respective organizations. Members of GCMFA include all types of firms involved in the investment company industry. Member organizations benefit from their involvement with the GCMFA in a number of distinct and tangible ways including GCMFA sponsored workshops, seminars, meetings and social events. Members are provided with a GCMFA directory to facilitate interaction and idea sharing.

www.gcmfa.org

MFEA

For more than 40 years the MFEA, an industry trade association for mutual fund marketers, manufacturers and distributors, has provided a variety of services, information and resources designed to support the marketing and investor education initiatives of its member firms and promote the benefits of mutual fund investing to the public. MFEA is a tightly focused, relevant community of mutual fund leaders who share a common goal of enhancing the investor experience through continued exploration of best practices and approaches that benefit investors and the industry. MFEA and its Executive Councils bring together fund professionals in specific practice areas—distribution, integrated marketing, retirement and eCommerce—to examine strategies, exchange ideas, discuss industry trends and identify key issues critical to their firm and its success.

www.mfea.info

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, managing over $31 billion. NAAIM’s purpose is to promote the common interests of those investment advisors who provide active investment management services to clients.

www.naaim.org

NICSA

NICSA is a not-for-profit trade association serving the global investment management community. By hosting dozens of webinars and live meetings each year, NICSA provides educational and networking opportunities to its members, in addition to recognizing innovators in the industry and acting as a source of information for investment services professionals.

www.nicsa.org

Auditors

Cohen Fund Audit Services

Cohen Fund Audit Services, Ltd. performs audit and other attestation and tax services for mutual funds, hedge funds and investment partnerships, broker/dealers, and investment advisors. They service a national base of clients ranging from newly seeded funds to well-established fund families. One hundred percent of Cohen clients are companies in the investment industry. That’s a level of focus every client can depend upon and few competitors can match

www.cohenfund.com

McGladrey

McGladrey LLP is the largest U.S. provider of assurance, tax and consulting services focused on the middle market, with more than 6,500 professionals and associates in 75 offices nationwide. McGladrey is a licensed CPA firm, and is a member of RSM International, the sixth largest global network of independent accounting, tax and consulting firms. For more information join our Facebook fan page at McGladrey News, follow us on Twitter @McGladrey, connect with us on LinkedIn, and/or on YouTube.

mcgladrey.com

Tait Weller

Tait Weller 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 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.

www.taitweller.com

Brokerage Services

CCM Group

CCM Group is a group of financial companies that provide execution, brokerage, clearing and custody services in the Equity Markets, Options, Fixed Income, and Futures. CCM Group grew out of Chicago Capital Markets, LLC (CCM), a leading futures brokerage firm, established in 1998. CCM Group is a member of Bluefin Companies.

www.ccmfinancialgroup.com

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.

www.cerosfs.com

KCG

KCG is a global financial services firm that provides trade execution, research, asset management and capital market services across multiple asset classes. The firm is consistently ranked as a leading source of liquidity in U.S. equities with over five billion shares traded daily. Knight has a global presence with offices located throughout North America, Europe and the Asia-Pacific region.

www.kcg.com

Street One Financial

S1F specializes in educating, evaluating and trading ETFs, equities, options and CEFs. S1F sends out a morning technical report with support/resistance levels and actionable trade ideas. S1F assists portfolio managers in constructing their portfolios by identifying which ETF provides the best correlation to the managers’ desired exposure, fees and liquidity. S1F sources underlying liquidity in ETFs to minimize market impact and lower true costs of trading, allowing the advisor to add Basis Points (lost due to poor execution or trade impact) back into their bottom line and showing increased performance through better trading and smarter ETF selection.

www.streetonefinancial.com

WallachBeth Capital LLC

WallachBeth Capital LLC is an institutional broker providing best execution services for those utilizing ETFs, option and index products, listed and OTC equities, and event-driven arbitrage strategies. The senior principals of WallachBeth are industry veterans; each having more than 25 years experience extending across the spectrum of principal trading, institutional brokerage and risk management technologies. Their role is to enhance clients’ alpha. Their skill is mitigating transaction cost slippage and delivering the best price attainable in actively traded and seemingly illiquid issues with minimal to no market impact; regardless of order size or complexity. WallachBeth’s clients include leading hedge funds and portfolio managers, RIAs, Family Offices, Tier 1 sell-side principal trading desks and professional market-making firms.

www.wallachbeth.com

Brokerage Services - Prime Brokers

Concept Capital Markets, LLC

Concept Capital Markets, LLC provides a full suite of prime brokerage services to hedge fund managers, including fund formation, direct execution, outsourced trading, directed brokerage and commission sharing agreements, as well as daily assistance with trade clearance and settlement and other back office functions. They are an introducing broker to, and have clearing agreements with, JP Morgan Clearing Corp., Merrill Lynch Professional Clearing Corp., and Pershing LLC, a subsidiary of Bank of New York Mellon, providing investment managers the opportunity to custody the funds they manage at one or more of these world-renowned banks. Specializing in providing clients with experienced personnel, in-depth market knowledge, as well as advanced proprietary systems, they enable clients to operate their businesses in an efficient and cost effective manner.

www.conceptcapital.com

ConvergEx Prime

ConvergEx Prime 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, clients get a package that, previously, only the largest institutions could access.

www.convergexprime.com

Pershing Prime Services

Pershing Prime Services, the New Model Prime Broker TM, delivers a comprehensive suite of prime brokerage solutions. We provide stable counterparty strength, extensive access to lendable securities, alternative sources of finance, dedicated client service, robust reporting tools, global execution and custodial solutions through the integrated platform of BNY Mellon. Pershing Prime Service is a service of Pershing LLC (member FINRA/NYSE/SIPC), a BNY Mellon company.

Pershing and its affiliates provide global financial business solutions to advisors, asset managers, broker-dealers, family offices, financial organizations, fund managers and registered investment advisory firms. A financial services market leader located in 23 offices worldwide, we are uniquely positioned to provide advisors and firms global insights into industry trends, regulatory changes and best practices, as well as shifts in investor sentiment and expectations. Pershing provides solutions−including innovative programs and business consulting−that help create a competitive advantage for our clients.

Please contact JamiLynn Cimino for more information at 201.413.3623 or jcimino@pershing.com.

www.pershingprimeservices.com

Silver Leaf Partners

Silver Leaf Partners (SLP) offers specialized brokerage solutions for alternative 40 Act funds. SLP combines prime brokerage expertise with Pershing’s global custody and clearing platform to provide 40 Act mutual funds the ability to implement complex options trading strategies and to sell securities short. SLP’s turnkey platform includes high-touch servicing and management of tri-party agreement and bank pledge style arrangements.

www.silverleafpartners.com

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 to provide a cost-effective compliance solution to small to medium-sized fund companies.

www.nlcompliance.com

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.

www.constellationtrust.com

BNY Mellon

BNY Mellon offers complete domestic and global custody services built upon the industry’s first single multicurrency systems platform. The platform’s comprehensive capabilities provide clients with quality, timely and easy-to-access information to meet their complex custody and accounting needs. The industry-leading security movement and control system provides a straight-through-processing solution, combining a complex range of services to maximize efficiency while measuring and managing risk.

www.bnymellon.com

Fifth Third 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 Ryan Henrich at 513-534-6721 or Ryan.Henrich@53.com.

Ryan.Henrich@53.com

Union Bank

Union Bank has focused on providing fully integrated institutional services for nearly a century, a comprehensive suite of services including: global and domestic custody, foreign exchange, and cash management. Union Bank serves each client with a dedicated relationship manager, offers leading technology and operational solutions that help clients meet their unique needs. Please contact Bob Dearth at 415-705-5014 or bob.dearth@unionbank.com for more information.

www.unionbank.com

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 with talented compliance officers that guide clients through the endless web of regulations and help you develop, activate, and market your fund.

www.nldistributors.com

Insurance

Liftman Insurance

Liftman Insurance specializes in professional insurance for the investment industry. The firm was founded in 1957 and currently has over 2500 investment advisor, mutual fund, hedge fund, broker/dealer and other financial institution clients. Liftman Insurance offers Directors & Officers Liability, Errors & Omissions, ERISA, Fidelity Bonds, Fund Liability, Cyber Fraud, Employment Practices Liability and State Surety and Stamp Bonds. Liftman Insurance represents all of the leading insurance carriers and can provide you with broad coverage at competitive rates. For a free consultation of your insurance program please contact Mark Liftman, President at 617.439.9595 Ext. 2 or mark@liftman.com.

www.liftman.com

Starkweather & Shepley’s Investment Industry Practice Group

Starkweather & Shepley’s Investment Industry Practice Group focuses on providing specialized risk coverage designed for insuring financial institutions and personnel, including Investment Advisers, Investment Management Consultants, Mutual Fund Groups, Hedge Funds, Venture Cap and Securities Broker/Dealers. Ranked by Business Insurance magazine as the 75th largest insurance brokerage in the world, Starkweather & Shepley has been offering complete insurance solutions since 1879. Our Investment Industry Practice Group offers specialty coverage including Errors & Omissions, Directors & Officers Liability, ERISA Bonds, Employment Practices Liability, Fidelity Bonds and Data Security Liability Insurance. For more information, please contact Andrew Fotopulos, Sr. Vice President & Managing Director at 1-800-854-4625, Ext. 1620 or afotopulos@starshep.com.

afotopulos@starshep.com

Marketing Collateral and Data

Advisor Products

Advisor Products is a leading client communications firm serving RIAs. They host websites for more than 1,100 advisory firms and provide secure client portals. They create FINRA-reviewed content about wealth management for high-net-worth individuals. Advisor Products provides brochure design as well as website development, search-engine-optimized copy, social media content, and compliance tools for content management.

www.advisorproducts.com

Asset Communications

Asset Communications has served the financial industry under the same women-owned leadership since 1988. They are financial and investment communication specialists. Understanding your business and speaking your language, they are mindful of good visual and verbal communication and careful not to obscure your message with industry jargon. Asset Communications enjoys a proud reputation of infusing creativity, innovation and valuable knowledge capital into every assignment they undertake — irrespective of scope or budget.

www.assetcommunications.com

Blu Giant

A division of NorthStar Financial Services Group, LLC, Blu Giant is a multi-disciplinary creative firm, empowering advisors to engage their clients though branding, social media, video and web; an experience we call “hypermedia.” At Blu Giant, our creative team will enable you to powerfully share your story, while our industry insight and knowledge will enable you to create, produce and deliver your product efficiently and cost effectively.

www.blugiant.com

Carpenter Group

Carpenter Group is a creative agency that delivers inspired ideas and transforms them into tangible solutions for the financial services industry. By understanding your industry, we can deliver results-driven, tailored solutions through our core offerings: branding, marketing communications, digital and advertising. We create fresh perspective by pushing the boundaries to differentiate your brand from your competitio

www.carpenternyc.com

Financial Media Group

Financial Media Group (FMG) is the leading database provider of financial intermediaries including registered reps, fee-based advisors, RIA’s, broker dealers and insurance professionals. Detailed information is provided through their easy-to-use web based platform, Advisor Direct Connect™, which allows users to download databases, email addresses and highly targeted prospecting lists. The information is used by recruiters at financial firms, wholesalers at fund companies, as well as other industry providers looking to expand their market reach. Combine FMG’s highly accurate database with turn-key marketing services including tele-recruiting, email marketing and direct mail fulfillment & design and you’ve got a partner who can help you meet your goals.

www.fmgdata.com

LederMark

LederMark Communications serves investment firms by advancing their brands, supporting their product launches, enabling them to tap networks of referral sources and get in front of target audiences. No two investment firms are the same: LederMark excels in crafting marketing strategy that fits the firm. Its principals have worked in the financial services industry and are directly involved in each client assignment. As a marketing partner, LederMark develops and executes marketing plans with efficiency and communications effectiveness. From investment writing and content development to tactical specialists in web and print design, emailing services and professional and industry experts. LederMark is an industry marketing partner.

www.ledermark.com

Leibowitz

At Leibowitz, we believe that critical thinking fosters creativity. Effective communication isn’t about being loud. It’s about listening. It’s about understanding the information at hand and then taking those learnings to shape perception and forge emotional connections through creative. Driven by research, our strategists, designers, and writers use critical thinking to tell your brand’s story. We think before we speak and it helps us succeed. Specialties at Leibowitz include: Branding, Brand Strategy, Digital Design, Marketing Collateral.

www.leibowitz.co

Meridian-IQ

Meridian-IQ is your premier tool for marketing, selling and understanding the Advisor marketplace. A next generation sales and marketing workflow engine incorporates the deepest and most accurate advisor database, time management tools and business planning software.

www.meridian-iq.com

RIA Database

RIA Database is a searchable, Web-based database of over 28,000 Registered Investment Advisors (RIA’s), 200,000 RIA contacts and over 70,000 RIA email addresses. RIA Database boasts extensive data collection from multiple sources, relevant search criteria, unlimited download capabilities, and an easy-to-use interface. www.riadatabase.com or 704-543-4554.

www.riadatabase.com

The Lowe Group

The Lowe Group is much more than a traditional PR firm. They are a focused marketing communications consultancy specializing in financial and investment communications. They help growing asset managers with all aspects of their marketplace outreach including media relations, shareholder communications, sales presentations, website development, sales support materials, and other strategic content development. They work with growing fund groups to help them identify and attract targeted investors and create greater awareness of their products and services in the marketplace. Their entire staff has dedicated their careers to the financial services industry having worked at some of the largest and most successful asset management firms in the industry. They provide each client with a customized and comprehensive approach.

www.lowecom.com

Public Relations

Dukas Public Relations

Dukas Public Relations has extensive experience representing a wide variety of hedge funds and asset management firms across nearly every major asset class and strategy, including long-short equity and credit hedge funds, long-only institutional managers, mutual funds, CTAs, quantitative-based managers and ETFs. We also have a strong capital markets practice. The communications goals of our clients include general profile raising and brand building through broad media outreach; ongoing reputation and crisis management; strategic thought leadership initiatives; digital/social initiatives, and the pursuit of industry awards and the placement of principals on prestigious speaking panels.

www.dukaspr.com

Jennifer Connelly Public Relations

JCPR is an award-winning public relations and marketing communications firm maintaining highly specialized practice groups in Financial, Financial Technology, Professional Services, Corporate Communications, Interactive Multimedia and Crisis & Issues Management. JCPR has earned a reputation for executing innovative strategies and solutions, an unparalleled focus on client service and a commitment to results backed by a proven track record.

www.jcprinc.com

SunStar Strategic

SunStar Strategic helps institutional investment managers and mutual fund firms attract and retain investors, strengthen distribution and build brands through structured news generation programs and smart marketing. SunStar knows the industry and the reporters who cover it, helping clients get the attention and recognition they deserve. In addition, SunStar offers a virtual distribution program to communicate with financial advisors and other investors in a timely way that supports or substitutes for wholesalers on the ground.

www.sunstarstrategic.com

Technology Providers

Orion Advisor Services, LLC

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.

www.orionadvisor.com

Access Data Corp.

Access Data Corp., a Broadridge Company, is a leader in enterprise data management, analysis and reporting for the financial services industry. Leading firms deploy Access Data SalesVision® to see how sales and assets are generated and address challenges in distribution, compensation management and compliance and risk management. SalesVision is built on a foundation of data management services to provide consistent and accurate trade data from all record keeping platforms. A flexible rules engine, integrated data management workflow and analytic tools support customization for on-demand tracking and reporting across a mutual fund organization. SalesVision’s platform for Distribution is a fully-integrated solution that enables mutual fund firms to focus on the advisors most likely to do business with their firm. The sales reporting tools provide timely insights on key distribution partners, top producers, products and sales trends. Sales data can be integrated with leading customer relationship management systems to provide a comprehensive view of client activities and sales results in a single interface. Access Data’s market intelligence solution enables mutual funds to compare and contrast their sales and marketing effectiveness with collective peers in the industry.

www.accessdc.com/salesvision.html

Celera Systems LLC

Since its founding in 2000, Celera Systems has been recognized as an innovator in information technology solutions for mutual fund and institutional managers, insurance companies, retirement plan providers, banks and broker dealers. Celera’s flagship platform, SalesStation, is an elegant all-in-one- data management, business intelligence and CRM solution that enables asset managers to outsource the operational and distribution nightmares associated with omnibus accounting, sub-accounting, trade reconciliation and advisor information to Celera’s specialized team of operations and data stewardship pros. SalesStation retrieves daily asset and transaction feeds from over 100 sources, aligns and consolidates data to suit each client’s unique business needs, maintains business-critical information, and delivers consistent, timely and reliable reporting from a single source. The addition of CRM capability is the latest enhancement to SalesStation, providing seamless integration with Salesforce.com, the dominant CRM provider worldwide, and featuring reports, dashboards, and templates customized specifically to capture and display information unique to asset management companies. For small and fast-growing asset management organizations, SalesStation eliminates the need to divert scarce and precious capital and staffing resources to build and manage complex business and sales reporting systems, analytics and CRM tools in house.

www.celerasystems.com

Charles River Development

Charles River Development provides software, hosting and data services to automate front- and middle-office investment operations for buy-side firms. On-premises software and SaaS solutions support portfolio management, compliance and risk monitoring, order and execution management, and access to global liquidity.

www.crd.com

Confluence

Confluence is the global investment management industry’s leading provider of automated data management solutions. They help investment management companies gain unprecedented control by automating the collection, creation, confirmation, and delivery of investment product data. The Confluence Unity® platform performs a wide array of tasks like measuring performance or customized reporting for domestic and international managed investment products, including mutual funds and variable products, as well as hedge funds and other alternative investments.

www.confluence.com

Diligent Board Member Services, Inc.

Over 1,800 boards and 33,000 individual directors, executives and administrators worldwide rely on Diligent Board Member Services, Inc. to speed and simplify how board materials are produced, communicated and viewed. As the world’s most widely used board portal, Diligent Boardbooks® has pioneered ease of use, stringent security, and superior training and support since 2001. Today we are a public company with cumulative sales totaling almost $US 32.4 million. Our ranking in the 2011 Deloitte Technology Fast 500 places us among the fastest growing technology companies in America. Diligent has offices located in New York (headquarters), Toronto, London, Sydney, Christchurch, Singapore and Hong Kong.

www.boardbooks.com

Envision Financial Systems

Envision is the leading provider of real-time shareholder record keeping and servicing solutions. The product suite includes a shareholder record keeping system with integrated cost basis, workflow and imaging; internet inquiry, trading and e-delivery solutions. Envision offers a separate trade monitoring application that works with any record keeping platform.

www.enfs.com

ExpenseWatch.com

If you run a business, you have expenses. ExpenseWatch.com empowers you to control them. Automate company expense management processes with modules for Expense Reports, Purchasing and AP Invoice Management and gain complete control & visibility over expenses. Annual subscriptions include implementation, training, support.

www.expensewatch.com

Reflow

Reflow’s tools help mutual fund managers maintain portfolio integrity by gaining greater control of shareholder flows. Reflow enables portfolio managers to efficiently maintain portfolio targets and liquidity, reduce turnover, optimize transactions and minimize potential capital gains distributions. Reflow’s NAVswap and Redemption Service are available in the United States to open-end mutual funds.

www.reflow.com

SunGard Financial Systems

Gemini Fund uses InvestOne from SunGard as our investment accounting and reporting system, which provides us with a fully integrated solution that controls and monitors each of its clients’ fund portfolios with the help of advanced reporting features and compliance functionalities. The system offers more than 300 standard reports, as well as report customization tools, and can manage all types of funds on a single database. We also use SunGard’s Control Center, which interfaces with InvestOne as a best-of-breed operational management and monitoring workflow tool that provides a centralized view of fund accounting activity.

www.sungard.com

Third Party Marketers

Gemini Fund maintains relationships with many third party marketers. Because of the nature of their business, many third party marketers specialize on certain types of funds and they all have varying degrees of capacity in regards to the number of funds they can work with. Please contact Gemini Fund to obtain a list of third party marketers that may best meet your fund’s needs.

These descriptions have been provided by the partner for use by Gemini Fund Services, LLC. Gemini Fund does not assume responsibility for any of the above claims made by the partners. Please note this is a non-inclusive list of industry partners. You are welcome to choose whichever firm you like for any of these services. Gemini Fund is open to working with other firms and always looking to begin new partnerships.