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Alternative 40 Act Fund One-on-One Meeting Package

PRICING OPTIONS

$4000 for 40 Act Fund Package

Package includes two attendee passes and one meeting suite

$4500 for 40 Act Fund Package with hotel

Package also includes two rooms and two nights at The Cosmopolitan of Las Vegas

Single attendee passes without a Meeting Suite are not available to 40 Act Funds

ATTENDANCE

One-on-One meetings with Investor/RIA

Attend panel discussions with leading industry speakers discussing trends that are shaping the Liquid Alternatives Landscape.

Access to all Summit cocktail events and meals

Complimentary Wi-Fi on site

MEETING MANAGEMENT

Access to the online scheduling system to pre-arrange meetings

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Hedge Fund Attendee

PRICING OPTIONS

$2000 for Single Attendee Pass

$2250 for Single Attendee Pass with two nights at The Cosmopolitan of Las Vegas

ATTENDANCE

Attend panel discussions with leading industry speakers discussing trends that are shaping the Liquid Alternatives Landscape.

Access to all Summit cocktail events and meals

Complimentary Wi-Fi on site

Hedge Fund Attendee Registration Hedge Fund Attendee Registration with hotel Modify Existing Registration »

Investor / RIA

PRICING OPTIONS

Complimentary registration and 2 nights stay for qualified Investors and Registered Investment Advisors (RIA) at The Cosmopolitan of Las Vegas

ATTENDANCE

One-on-One meetings with 40 Act Funds

Attend panel discussions with leading industry speakers discussing trends that are shaping the Liquid Alternatives Landscape.

Access to all Summit cocktail events and meals

Complimentary Wi-Fi on site

MEETING MANAGEMENT

Access to the online scheduling system to pre-arrange meetings

Investor / RIA Registration with hotel Modify Existing Registration »

Service Provider

PRICING OPTIONS

$3500 for Single Service Provider attendee pass

$3750 for Single Service Provider attendee pass with two nights at The Cosmopolitan of Las Vegas

ATTENDANCE

Attend panel discussions with leading industry speakers discussing trends that are shaping the Liquid Alternatives Landscape.

Access to all Summit cocktail events and meals

Complimentary Wi-Fi on site

MEETING MANAGEMENT

Access to the online scheduling system to pre-arrange meetings

Service Provider Registration Service Provider Registration with hotel Modify Existing Registration »

CONTEXT SUMMITS
Liquid Alternatives

Las Vegas 2014
October 14-16, 2014
The Cosmopolitan
of Las Vegas

About the Summit

Context Summits will host the preeminent RIA conference on Liquid Alternatives in Las Vegas, October 14th - 16th, at The Cosmopolitan of Las Vegas. This Summit will feature educational content from leaders in the alternative asset management industry as well as other experts within Liquid Alternatives. RIAs will gain valuable knowledge into the latest trends within Liquid Alternatives as well as have insightful, informative and educational one-on-one meetings with managers.

Complimentary Registration & Accommodations for
RIAs and Qualified Investors

Speakers Include:

W. Scott Burns
Global Director of Manager Research - Morningstar, Inc.
David Armstrong
Executive Director, Content & User Engagement - Wealth Management
Nick Cherney
Chief Investment Officer - Velocity Share
John Culbertson
Managing Director & Chief Investment Officer - Context Asset Management
Helen Doody
CEO - Abbey Capital (US) LLC
Tom Florence
CEO & Owner - 361 Capital
Jason Gerlach
CEO & Managing Partner - Sunrise Capital Partners LLC
Eric Goodbar
Managing Director, Global Investment Strategist - Mellon Capital Management
Nicole Grogan
Head of Retail Intermediary National Accounts - Deutsche Asset & Wealth Management
Brian Hargreaves
Principal - Carlyle Quantitative Market Strategies
Brian Haskin
Founder & Publisher - DailyAlts
Christian Hoffmann
Director - Credit Suisse
Robert Klein
Managing Director - Prospect Capital
Steve Kneeley
Chief Executive Officer - Context Asset Management
David Kupperman
Managing Director - Neuberger Berman Group, LLC
Peter Lupoff
Founder & Chief Investment Officer - Tiburon Capital Management
Kevin Maloney
Senior Managing Director - Gottex Fund Management
Christopher Maxey
AVP - Alternative Strategies LPL Research
Jeffrey Megaro
Member - Arthur Bell, Certified Public Accountants
Lisa Mougin
SVP, Director of Sales & Client Relationship Management - ALPS Fund Services
Jason Myers
Portfolio Manager - Context Asset Management
Mohsen Namazi
SVP, Director of Sales & Client Relationship Management - Imagine Software
John Pallat
President - Equinox Financial Solutions
Reza Pishva
Counsel - Dechert LLP
Tim Rotolo
Vice President - Sandalwood Securities, Inc.
John Schneider
Principal - KPMG
Peter Shea
Partner - Katten Muchin Rosenman LLP
Kurt Stevens
Research Consultant - Systematic Absolute Return AG
Bibb Strench
Bibb Strench Securities Attorney - Seward & Kissel LLP
James St. Aubin
Managing Director - Wilshire Funds Management
Chris Umschied
Director - Deutsche Asset & Wealth Management
Josh Vail
National Investment Specialist - 361 Capital
Jay W. Van Ert
Managing Director - CAZ Investments
Richard Webley
Americas Head of Business Advisory Services - Citi
L. Joshua Wein
Director, Alternative Investments - Sterling Capital Management, LLC
James Willis
Managing Director - Sterling Capital Management, LLC
Marc Wolf
Partner - Audit Service - Alternative Investments, KPMG

Scott Burns is director of Morningstar’s global manager research team, responsible for coverage of managed products, including mutual funds and exchange-traded funds (ETFs). In this role, he leads Morningstar’s active, passive, alternative and fund-of-funds investment research as well as Morningstar’s Markets group. Prior to assuming his current role in 2013, he was director of fund research for North America.

Mr. Burns has more than 15 years of experience in securities analysis. Prior to joining the ETF team, he was an associate director for the equity research staff, in charge of training and methodology development. In his time on the equity research team, Mr. Burns was also as a senior equity analyst and team leader, covering the steel and aluminum industries.

 

Before joining Morningstar in 2004, Mr. Burns spent a year teaching corporate finance and cash-flow modeling for Bank One. Prior to that, he spent four years as an analyst and later as an associate with the Banc of America Securities Leveraged Finance group.

Mr. Burns holds a bachelor’s degree in finance from the University of Illinois and a master’s degree in business administration from the University of Chicago Booth School of Business. In July 2009, he was named to ETF Database’s ETF Hall of Fame.

David Armstrong is the Editor-in-Chief and Executive Director of Content and User Engagement for WealthManagement.com and Rep. magazine, the leading publication for the wealth management community.

He is a long-time financial journalist and has worked at McGraw-Hill’s energy and oil newsletter group, FoxNews.com and most recently Forbes Magazine, where he was a reporter and writer for 8 years covering everything from entrepreneurs, technology, corporate profiles and business, investing and business features. Among other duties, for four years he was a reporter and editor on the Forbes 400 list of wealthiest Americans.

Immediately before WealthManagement.com, David worked at HNW, a financial services marketing agency focused on the high net worth market, editing client-facing newsletters for advisors and creating custom research projects for clients including Fidelity Charitable, RBC Wealth Management and Lincoln Retirement.

David is a graduate of UW-Madison where he majored in English and Communication Arts. He spent two years as an English teacher in Chi-Yi City, Taiwan.

Nick Cherney co-founded VelocityShares® in 2009. Previously, he worked at Barclays Capital in New York and had product development and management responsibilities for iPath ETNs. Previous to his role with Barclays Capital, Mr. Cherney was a portfolio manager for iShares at Barclays Global Investors in San Francisco, where he managed over $25 billion of ETF assets across asset classes. Prior to that, he was an index research analyst at Barclays Global Investors.

Mr. Cherney has appeared on CNBC and Bloomberg TV, and is frequently quoted in the Financial Times, The Wall Street Journal, Reuters, Barron's and other leading financial publications. He holds a BA with Highest Honors in economics from UC Berkeley and is a CFA charterholder.

An industry veteran of more than 28 years, John Culbertson’s experience encompasses trading, venture capital, asset allocation and hedge fund portfolio management. In his role as Context’s CIO, he is responsible for the firm’s strategic development and implementation of the investment strategy, and he serves as chair of the investment committee.

Prior to assuming his current position with Context, Mr. Culbertson ran the investment committee and was Chief Investment Officer for a large family office, where he oversaw a portfolio of hedge funds and was responsible for asset allocation decisions. In addition to his family office background, he was a founder of Gamma Investors, a venture capital fund that invested primarily in financial services technology companies. Mr. Culbertson spent the early years of his career in New York and London as a partner at Cooper Neff and Associates, a quantitative proprietary trading firm. At Cooper Neff, he founded the London office and traded derivatives on fixed income, commodities and equities. In 1995, that firm was sold to BNP Paribas, where he became an Executive Vice President, a position held until 2000.

Among his extensive outside activities, Mr. Culbertson is chairman of the board of directors at Urban Promise, an innovative urban youth organization headquartered in the city of Camden, NJ, and is a board member of E3, a school choice advocacy organization. He is a member of the Dean’s Advisory Board at the Rutgers University Camden School of Business and a member of the Rutgers Camden School of Business Hall of Fame. He received his undergraduate degree in business and economics from Rutgers University and earned a Master of Liberal Arts from the University of Pennsylvania.

Abbey Capital (US) LLC is a registered Broker Dealer, a member of FINRA and a wholly owned subsidiary
of Abbey Capital Limited. Helen oversees US client servicing, business development and the running of
the US subsidiary office which currently is a seven-person team.

Prior to working with Abbey Capital in 2008, Helen was an equity trader for almost ten years. In 1999
Helen commenced employment with ABN AMRO where she was employed for five years. She traded
Irish equities before moving to London to be a FTSE 250 Market Maker. Helen returned to Dublin in
2005 and headed up Anglo Irish Bank’s Centralised Dealing Desk until 2006 when she moved to the
United States of America. Helen joined Chilton Investment Management where she was responsible for
the group’s European Equity Trading until January 2008.

Helen graduated from University College Dublin with a bachelor of Commerce Degree and Dublin City
University with a Certificate in Investment Management. She is also a member of the Society of
Investment Analysts in Ireland.

Tom Florence is the CEO and owner of 361 Capital, responsible for the general management of the firm. He has over 28 years of experience in the financial services industry, having been exposed to all facets, including investment management, sales and marketing, operations and general business management.

In addition to working for industry leaders Merrill Lynch, Fidelity Investments and Morningstar, Mr. Florence was a co-founder of several investment management firms, including Dividend Capital Investments. He has been on the board of trustees at two mutual fund companies, including the Janus Mutual Funds. Mr. Florence has been a frequent industry speaker and guest lecturer at the University of Denver’s Daniels College of Business.

Mr. Florence holds a Bachelor of Science degree in economics from Pennsylvania State University and is a graduate of Northwestern University’s Kellogg Management Institute.

Jason Gerlach is the Chief Executive Officer and Managing Partner of Sunrise Capital Partners. In these roles, Mr. Gerlach determines and drives Sunrise’s overall business strategy and oversees its day-to-day business operations and activities. He also serves on Sunrise’s Management Committee. Prior to joining Sunrise, Mr. Gerlach was a Sunrise investor, a private businessperson and an attorney with Hale and Dorr LLP (now WilmerHale) in Boston and later Howard Rice Nemerovski Canady Falk & Rabkin (now Arnold & Porter LLP) in San Francisco.

Mr. Gerlach co-founded the California Hedge Fund Association in 2010 and is currently the organization’s president and a member of its board of directors.

Mr. Gerlach holds a JD cum laude and a MA in public policy analysis and public administration from the University of Wisconsin (1996) and a BA in government from Cornell University (1993). He has completed additional finance and business studies at The Wharton School and Harvard Business School.

• Responsible for articulating various strategies to clients and prospects, as well as participating in the refinement of current strategies and the development of new strategies
• Substantial experience in financial modeling development, including advanced portfolio optimization and risk management
• Member of the Risk Management, Investment Management, and Senior Management Committee
• Previously held senior level positions for leading alternative investment firms in research and managementof hedge fund-of-funds
• Over 10 years of trading desk experience with a large Chicago derivatives trading firm
• Former adjunct faculty member at the Illinois Institute of Technology, Stuart School of Business
• Extensive alternative investment research expertise, including contributions to The Handbook of Managed Futures and numerous conference appearances

In her role, Nicole and her team are responsible for placement and distribution of all retail products within RIA/custodial, bank trust, defined contribution and subadvisory platforms at leading financial services organizations. With $1.31 trillion of assets under management (as of 6/30/14), Deutsche Asset & Wealth Management is one of the world's leading investment organizations, and offers individuals and institutions traditional and alternative investments such
as the suite of Deutsche mutual funds, Deutsche X-Trackers and Deutsche Alternative Fund Solutions across all major asset classes. It also provides tailored wealth management solutions and private banking services to high- net-worth individuals and family offices

Brian Hargreaves is a Principal with the Carlyle Quantitative Market Strategies (CQMS) group focused on business development initiatives. Mr. Hargreaves brings 15 years of investment experience, specializing in sales acceleration, due diligence and portfolio management. Prior to joining The Carlyle Group, his previous role was managing nearly $5B AUM in alternative investments and model portfolios for Curian Capital / Jackson National. Prior to that, Mr. Hargreaves was a director in the Alternative & Quantitative Investments (A&Q) Group for UBS Global Asset Management. In this role he supported product expansion for UBS’s institutional channel focused on single and multi-manager hedge fund strategies. Prior to 2006, he was employed at the Chicago Mercantile Group (CMG) from 2003–2006 and started his career with Arthur Andersen LLP. Mr. Hargreaves holds his Chartered Alternative Investment Analyst (CAIA) designation in addition to Series 3, 7 & 63 licenses.

Brian Haskin is the Founder and Chief Executive Officer of Alternative Strategy Partners, a registered investment advisory firm focused on providing alternative investment solutions to institutional and high net worth investors. Brian is also the founder and of publisher DailyAlts.com, a news and information website focused on liquid alternative investments.

Throughout his 20-year career in the asset management industry, Brian has been directly responsible for the creation, management and distribution of both alternative and traditional investment products in the U.S., Europe, Asia and Australia for some of the largest and most innovative asset management firms in the industry, including Barclays Global Investors (now part of BlackRock), Deutsche Bank, Wilshire Associates and Analytic Investors.

Brian received his B.S. in business administration, with an emphasis in accounting, from the University of Southern California and his M.B.A. in finance, with honors, from the University of Chicago Booth School of Business.

Christian Hoffmann, Director, leads the Client Portfolio Management team for Liquid Alternative Strategies at Credit Suisse.  Mr. Hoffmann joined Credit Suisse in 2003 and is based in New York. Prior to his current role, Mr. Hoffmann served as Head of Product Development for the Beta Strategies group within Liquid Alternatives where was responsible for overseeing the launch of traditional long only products as well as hedge fund and hedge fund of fund products globally. Previously, Mr. Hoffmann worked in Credit Suisse Asset Management’s Frankfurt Division where he focused on developing investment products for European clients. Mr. Hoffmann earned a Master’s degree from the University of Applied Sciences, Aschaffenburg focusing on Finance and Business Administration.

Robert Kleinis a Managing Director of our Adviser with 25 years of finance industry experience. Mr. Klein is responsible for originating, executing and managing our investments in CLOs and, along with Mr. Mehta, manages our relationships with CLO collateral managers and CLO underwriters.

Mr. Klein serves a similar role at Prospect Capital Management. From 2002 to 2011, he worked at American Capital, Ltd., as a Managing Director and led the New York private equity portfolio team as well as numerous debt investments with financial sponsor clients. From 1992 to 2001, Mr. Klein worked at American Securities and American Industrial Partners, both active middle-market private equity firms.

Mr. Klein began his career in the Mergers and Acquisitions groups of First Boston and Morgan Stanley. He holds a JD with Distinction from Stanford Law School and a BA summa cum laude from Yale College, where he was a member of Phi Beta Kappa.

Mr. Klein has been admitted to the California bar (inactive status). He serves on the Board of Trustees of Temple Beth El of Northern Westchester and on the Committee for Ancient and Byzantine Art at the Art Institute of Chicago. He is a former Professional Fellow of the New York University Center for Law and Business.

Steve brings more than 28 years of executive and investment industry experience to his role as Context’s CEO. He is as an accomplished leader whose proficiencies encompass a wide swath of the financial services universe including experience with mutual funds, managed accounts, fixed income, foundations and endowments. As CEO, Steve is responsible for the long-term results of the firm and oversees all functional areas including strategic planning, marketing, distribution, compliance, finance, human resources and capital sourcing.

Prior to joining Context, Steve served as CEO of Spider Management, which provides investment management services to endowments and foundations, including the University of Richmond’s $2 billion endowment. Prior to joining Spider, Steve was CEO of Ardmore Investment Partners, a firm he launched to advise asset management firms on strategic initiatives. In 1990 he was a founder of Turner Investment Partners and advanced to serve as president and CEO. While at Turner, Steve was responsible for a number of business lines, including mutual funds and managed the firm’s entry into managed accounts and its expansion into Europe, the Middle East and Australia. Steve began his career with The Travelers Companies.

Steve has been a featured speaker at industry conferences on both team leadership and the culture of compliance and has mentored a number of young people who have gone on to great success in the industry. He received a BS degree in Economics and Political Science from the University of Richmond and served on the University of Richmond’s Board of Trustees from 2002 through 2010 as well as on its Investment Committee.

David Kupperman, PhD, Managing Director, joined the firm in 2011. Mr. Kupperman is co-head of NBAIM and a member of the Investment Committee, and also serves as the Head of Liquid Strategies on the NB Alternative Investment Management Team.

Prior to joining, Mr.Kupperman was a partner and member of the investment committee at Alternative Investment Management, LLC. Before that, he worked as a Managing Director and member of the Executive Committee of Paloma Partners Management Company, a multi-strategy hedge fund focused on relative value trading strategies. Prior to Paloma, Mr. Kupperman worked at The Carlyle Group, one of the world’s largest alternative investment managers. At Carlyle, he most recently served as the Principal of Product and Business Development, reporting directly to the firm's co-founder.

Prior to Carlyle, Mr. Kupperman was a Vice President in both the Private Equity and Portfolio Strategy Groups at Goldman, Sachs & Co. In his role in portfolio strategy, he authored papers on asset allocation and helped develop Goldman’s quantitative asset allocation framework for high net worth investors. Additionally, he worked with individual ultra-high net worth clients in establishing their asset allocations and investment strategies. While in the private equity group, he worked on secondary private equity, fund-of-funds, fund performance analysis and the structuring of alternative investment programs for Goldman clients.

Mr. Kupperman currently serves as a member of the Executive Committee of the Investment Management Division of the UJA Federation of New York. He holds an MA and PhD in physics from The Johns Hopkins University and a BA and an ME from Cornell University.

Peter Lupoff is the founder and Chief Investment Officer of Tiburon Capital Management, LLC. He is Co-Portfolio Manager of the Tiburon Event-Driven Funds and accounts.

Mr. Lupoff has run event-driven, credit and distressed investment portfolios as Portfolio Manager for Millennium Management, LLC, Robeco Weiss Peck + Greer and MJ Whitman, LLC. Funds Mr. Lupoff have managed or co-managed have achieved awards such as GAIM's Top Performing Emerging Distressed Manager, MARHedge's Event-Driven Manager and an Institutional Investor nomination as Hedge Fund House of the Year.

Mr. Lupoff’s BRACE methodology, is a unique and differentiating investment protocol, coupling a deep value sensibility learned when a partner of famed value investor, Marty Whitman, with Lupoff’s own game theory/probabilistic weighting of events, and risk management learned from portfolio management with Izzy Englander’s Millennium Management. Mr. Lupoff is a frequent speaker and writing regarding his investment philosophies and is a regular Federal Reserve Bank Discussant and consultant on shocks and illiquid markets.

Kevin Maloney is a United States citizen. He joined Gottex in September 2003 as Head of Manager Research. In 2008, Dr. Maloney became Chairman of the Research Committee, and also Head of Risk Management in 2009. In 2010, he became a member of the Gottex Executive Committee. In 2012, Dr. Maloney became the Chief Investment Officer of the Fund of Hedge Funds Business at Gottex. From 1995 to 2003, he worked for Putnam Investments, where he was a Managing Director.

From 2002 to 2003, Dr. Maloney managed the Product Design Team and worked with the equity and fixed income portfolio management teams to design and position products to meet client objectives for risk, return and style positioning. From 1998 to 2001, he was the Director of Financial Engineering at Putnam, where his team drove the development of risk systems, portfolio construction tools, and derivatives analytics and infrastructure. From 1995 to 1998, he was the Director of Quantitative Research in Fixed Income.

Dr. Maloney was a professor of finance and economics at the Amos Tuck School of Business at Dartmouth College from 1983 to 1995. He has an MA and PhD in finance and economics from Washington University and a BA in economics from Trinity College. He has published a number of articles in academic and professional journals.

Chris Maxey is an Assistant Vice President of Alternative Strategies for LPL Research.

Previously, Mr. Maxey was a Senior Analyst in the Alternative Investments group at Fortigent, with responsibility for researching, selecting and monitoring hedge funds, alternative investment mutual funds and other non-traditional investment solutions for the Fortigent research platform. He is a member of the Investment Committee and Lead Portfolio Manager of the firm’s alternative model portfolios. He has authored a number of papers on alternative mutual funds and hedge funds.

Prior to joining Fortigent, Mr. Maxey worked as a Credit Analyst and Portfolio Specialist at Trusco Capital Management. In this position, he was responsible for analyzing the creditworthiness of corporate debt issuers while also producing reports on a broad range of macro-economic topics. In addition, he worked with Portfolio Managers in the Institutional Investment group on a day-to-day basis to oversee portfolios for endowments, foundations and pension plans.

Mr. Maxey earned a B.S. degree in business administration, with a concentration in finance, from American University. He holds the Chartered Alternative Investment Analyst (CAIA) designation and is FINRA Series 65 licensed.

Jeffrey Megaro joined Arthur Bell CPAs in 2001 and has extensive audit and alternative investment industry experience. He became a Member in the firm’s Audit & Assurance Department in January 2014 and is actively engaged on the firm’s Investor Representative Committee.

Highly skilled in accounting, research and data analysis, Mr. Megaro has developed best practices and expertise helping clients improve their internal controls and processes. He also consults on audit and business issues involving valuations.

In addition to being a mentor and advisor to senior auditors, Mr. Megaro is involved in the firm’s educational programs for employees and clients. He conducts audit and systems training internally, and is a regular speaker at Arthur Bell’s Annual Alternative Investment Industry Update on relevant audit, assurance and industry issues.

With a BS degree in accounting from Binghamton University, Mr. Megaro is a licensed CPA in Maryland, Connecticut and Delaware. He is also a member of the American Institute of Certified Public Accountants and the Maryland Association of Certified Public Accountants.

Although he once lived in New York, Mr. Megaro now resides in Baltimore County, Maryland, with his wife and two children. In his free time, he likes to travel and play basketball with a team of Arthur Bell colleagues.

Lisa Mougin leads the business development practice of ALPS’ asset servicing business, along with overseeing the firm’s client relationship management program. Prior to this role at ALPS, Ms. Mougin worked as a Relationship Manager in the firm’s Fund Administration Department. Before joining ALPS in 1998, she worked as an Auditor at PricewaterhouseCoopers, specializing in the financial services industry.

Ms. Mougin earned a BS in business with an emphasis in accounting from Marquette University, graduating magna cum laude. She is registered with FINRA and holds a Series 7 license. Outside of work, she enjoys travel and running, and resides in Denver with her husband and two children.

Jason Myers has spent the majority of his career developing a comprehensive knowledge of effective hedge fund strategy screening, selection, analysis and portfolio creation. As Portfolio Manager of Context’s multi-manager fund, Context Alternative Strategies Fund, he is responsible for the funds operations and investment activities including investment policy, portfolio construction, manager selection as well as serving on the investment committee. Mr. Myers also serves as the firm’s Chief Compliance Officer, where he is responsible for implementing and overseeing Context’s compliance policies and procedures.

Prior to Context, Mr. Myers was founder and Managing Director of ARIA, an SEC-registered RIA focusing on liquid alternatives. He also spent eight years as Managing Director of Newport Capital Advisers, a Boston-based consulting firm, where he developed, implemented and managed client portfolios and investment policies for both discretionary and non-discretionary client accounts, applying fundamental and quantitative due diligence on prospective and current traditional and alternative investments. At Newport, Mr. Myers developed comprehensive investment strategies for institutional consulting clients, comprised of pensions, endowments, foundations and high net worth families. In 2005, he partnered in creating Victory Road Diversified Partners, a globally diversified hedge fund of funds. Prior to that, he worked at AIG as an investment adviser for individuals, hospitals and universities.

Mr. Myers received his undergraduate degree in international studies from Dickinson College in Carlisle, Pennsylvania, and earned a graduate degree in management – finance & control from Harvard University.

Mohsen Namazi studied economics and finance at McGill University, earning his Bachelors in Commerce Degree in 1997. Mr. Namazi then attended graduate school at the London School of Economics, studying econometrics and mathematical economics, and was awarded a Masters of Science Degree in 1999.

From 1999 to 2004, Mr. Namazi was an Associate on the Equity Derivatives Trading desk at Deutsche Bank in London. In 2004, he joined Imagine Software as a Product Specialist and is now the firm’s Senior Product Specialist – Manager for the Americas.

Mr. Namazi provides advanced business counsel and financial engineering expertise for Imagine’s global clientele and is deeply involved in pre- and post-sales support. He divides his time between Toronto and Imagine headquarters in New York.

John Pallat is the President of Equinox Financial Solutions and the Chairman of Equinox Financial Group. Mr. Pallat oversees the conception, development and implementation of new products and distribution strategies for investment products managed by Equinox Fund Management and other investment managers.

Prior to co-founding Equinox in 2003, he developed insurance and reinsurance products for a group of privately held insurance and reinsurance businesses. These businesses included underwriting management companies, risk-bearing entities and claims management companies. Mr. Pallat began his career as a management consultant for Tillinghast, Nelson & Warren in 1986, where he focused on risk financing, M&A activity and strategy for financial services companies.

Mr. Pallat received his BS from Miami University and a Masters of Insurance degree from Georgia State University. He is currently pursuing a Doctor of Business Administration from the International School of Management in Paris, France.

Reza Pishva represents registered and private investment companies, investment advisers, insurance companies, and fund boards of directors on a variety of corporate, governance, and regulatory matters.

Mr. Pishva advises clients in the development and creation of registered fund products for both institutional and retail investors. He also serves as independent counsel to fund boards of directors.

Additionally, Mr. Pishva has experience structuring and organizing a variety of domestic and offshore hedge funds. He has also assisted Islamic financial institutions with the organization of Shari’a-compliant funds.

Mr. Pishva is a graduate of Northwestern University (B.A.), American University Kogod School of Business (MBA), and American University Washington College of Law (J.D., cum laude), where he served as Managing Editor of the American University International Law Review. He is admitted to the California, District of Columbia and New York Bars.

Tim Rotolo is a member of Sandalwood's manager research department and Investment Committee. As such, he plays a key role in various aspects of Sandalwood's due diligence process on credit and event-driven strategies. Mr. Rotolo’s main focus is the day-to-day management of the Sandalwood Opportunity Fund. He is actively involved in the firm's identification of various investment themes, portfolio construction and client communication. Mr. Rotolo’s role also encompasses working closely with other members of the investment team concerning quantitative analysis in the portfolio construction and risk management processes.

Prior to joining the firm in February 2009, Mr. Rotolo served as an analyst in Merrill Lynch's Private Banking and Investment Group. In this capacity, he analyzed and implemented the strategic and tactical investment process for UHNW portfolios.

Mr. Rotolo received his BA from Tufts University. He is a Chartered Alternative Investment Analyst and a Level II candidate in the Chartered Financial Analyst Program.

John Schneider is a Principal in KPMG’s Investment Management Regulatory Practice with over 23 years of compliance, internal audit, and risk management experience in the financial services industry. Mr. Schneider is responsible for developing and leading KPMG’s Investment Management Regulatory team of practitioners as well as driving all market development initiatives.

Prior to joining KPMG, Mr. Schneider was a Managing Director and Head of the Investment Management Business Segment at Navigant Consulting (NCI). His experience at NCI included leading teams responsible for performing conflicts of interest studies, due diligence reviews, compliance program development and evaluation, and providing a wide-array of risk assessment services to over 150 Investment Advisers and Investment Companies. Mr. Schneider has also assisted clients in responding to regulatory examinations and inquiries requiring forensic analyses and presentations to the regulators.

Mr. Schneider's experience prior to NCI includes evaluating portfolio management trading systems, investment finance products, and risk management programs for a wide range of products, including hedge funds, mutual funds, managed accounts, alternative products, exchange traded funds, private equity and mezzanine trust offerings.

Mr. Schneider is a frequent speaker at prominent industry events and holds a B.S. from the University of Scranton and an M.B.A. from Boston University.

Peter J. Shea is a partner in Katten’s Financial Services practice. His clients range from NYSE-listed exchange traded funds to small private businesses as well as registered investment companies, hedge funds, investment advisors, broker-dealers and other financial institutions.\

Peter has extensive experience as company counsel and fund counsel and has represented businesses in all phases of their development. Peter is a former SEC Division of Enforcement Staff Attorney and a member of the ABA Business Law Section (Committee on Federal Regulation of Securities) and the Association of Securities and Exchange Commission Alumni.

Kurt Stevens, Research Consultant for Systematic Absolute Return AG in Zürich, Switzerland, conducts sub-manager due diligence for the MHB SAR Absolute Return Index and its 40 Act clients. Mr. Stevens focused on actively traded, systematic strategies, and previously worked in the San Francisco area at BARRA, Inc., Mercer Consulting and Bear Stearns Asset Management.

Bibb L. Strench is a Counsel in the Washington, DC, office of Seward & Kissel LLP. Mr. Strench’s practice focuses on exchange-traded funds, alternative registered funds, mutual funds and investment advisers. He provides advice on regulatory, compliance, entity formation, auditor independence, corporate governance and other issues related to the operation of the aforementioned businesses. Mr. Strench frequently speaks and writes on issues surrounding investment management and securities regulation.

During his career, Mr. Strench has played a role in a number of significant legal developments impacting the investment management industry. He helped form the first Shariah-compliant exchange-traded fund, assisted NCCUSL with the development of the model statutory trust entity act, was recognized as a contributor to the Investment Company Institute’s Report of the Advisory Group on Best Practices of Fund Directors, and he argued Investment Company Act of 1940 issues in federal and state courts in the landmark mutual fund independent director case (Yacktman v. Carson, et al.).

Mr. Strench began his career as a staff attorney in the Division of Investment Management of the U.S. Securities and Exchange Commission. He received his J.D. from the University of Virginia School of Law and B.A. from Vanderbilt University, 1984.

James St. Aubin is a Managing Director of Wilshire Associates and a portfolio manager with Wilshire Funds Management. He has more than 14 years of industry experience and is responsible for overseeing customized asset allocation solutions and multi-strategy liquid alternative portfolios for financial intermediary clients. In addition to managing portfolios, he is also involved with product development and investment research. Mr. St. Aubin is a voting member of Wilshire Funds Management’s Investment Committee. Prior to joining Wilshire Associates in 2008, he served as a senior consultant at Ibbotson Associates (a subsidiary of Morningstar), where he worked in a similar capacity, focusing on the development and management of multi-asset portfolios. Mr. St. Aubin began his career as an investment management analyst for Smith Barney.

Mr. St. Aubin earned his BS in finance from DePaul University, and also holds the Chartered Financial Analyst and Chartered Alternative Investment Analyst designations. He is a member of the CFA Society of Los Angeles, CFA Institute and CAIA Association.

Chris Umscheid - Director, Global Head of Hedge Fund Research & Due Diligence within the Product & Solutions Group of Deutsche Bank AWM.  Chris also serves as the Portfolio Manager of the DWS Diversified Market Neutral Fund and Co-PM of the DWS Strategic Equity Fund.  Chris is a senior research analyst specializing in hedge fund due diligence and is a member of the Global Hedge Fund Investment Committee and the A&FS Americas Executive Committee.  Along with other members of the global research team, he helps to source, structure, and ultimately select single manager hedge funds and fund of hedge funds for inclusion onto the global manager platform and regional offerings. Prior to joining Deutsche Bank, Chris worked as a Fund of Hedge Fund Portfolio Manager for the Wafra Investment Advisory Group. Prior to that, Chris was a Portfolio Manager and Director of Research for Yankee advisers, LLC and a Senior Analyst at Phoenix Advisers Inc. Chris earned an A.B. in Economics form Dartmouth College and began his career as a Financial Analyst at Goldman Sachs & Co.

Josh Vail serves as National Investment Specialist at 361 Capital. He is responsible for investment marketing and distribution management.

Mr. Vail joined 361 Capital in late 2010 prior to the launch of the firm’s first mutual fund. He brings more than 10 years of experience working with alternative investments and product development. Throughout his career, Mr. Vail has worked in this capacity with numerous investment structures, including private offerings, non-traded REITs, hedge funds and mutual funds, as well as various alternative asset classes and strategies, including private real estate equity, collateralized debt obligations, mezzanine financing, long/short equity, equity market neutral and managed futures.

Prior to joining 361 Capital, Mr. Vail was the Director of Capital Markets and a Regional Vice President for Welton Street Investments, focusing on alternative product development and distribution.

Mr. Vail graduated from the Colorado State University with a Bachelor of Science degree in finance and real estate. He currently holds FINRA Series 7, 24, and 63 registrations, and is a Chartered Alternative Investment Analyst (CAIA).

Jay W. Van Ert, Managing Director, is responsible for leading the CAZ Investments’ efforts in Alternative Investments and serves on the firm’s Executive Committee and Investment Committee.

Jay has more than 25 years of investment experience including serving as the Senior Portfolio Manager of a multibillion dollar alternative investment fund. Additionally, Mr. Van Ert was a Portfolio Manager and Director of High Yield Research at T. Rowe Price & Associates in Baltimore, MD.

Jay holds a bachelor of business administration from the University of Texas and a master of business administration from Southern Methodist University.

Richard has 16 years of Capital Markets experience and runs the US Business Consulting practice within Investor Services at Citigroup. This business consulting team includes Start-Up Services, Talent Management Services, Business Management and Operational Review Services.

Mr. Webley began his career in 1995 at JP Morgan in the Investment Bank and held various roles in operations & technology change management before joining the specialist Capital Markets consulting company m.a.partners in 2001. As a partner in the US practice, he worked with a wide variety of the Tier 1 Investment Banks and Buy-Side firms across the spectrum of operations and technology business consulting, including business strategy, market research, organizational design, operations & technology architecture, and vendor outsourcing. When Detica Consulting acquired m.a.partners in 2007, Richard ran the US financial services consulting practice before joining Citi to run strategy & planning for the US broker-dealer in 2009, and joined the Prime Finance team in 2010.

Mr. Webley holds a Bachelor’s Degree in economics from East London University.

L. Joshua Wein joined BB&T Asset Management in 2008 and Sterling Capital Management through merger in October 2010. Mr. Wein has investment experience since 1995. He is a co-Portfolio Manager for the Sterling Capital Long/Short Equity Fund and an investment analyst with Sterling' s Advisory Solutions team, with a focus on alternative investments.

Prior to joining BB&T, Mr. Wein worked as a Managing Member of Bellator Capital Partners, a long/short equity fund focused primarily on small and mid-cap equities. He also worked as an Equity Research Associate covering enterprise software companies at First Union Securities.

Mr. Wein is a graduate of Emory University, where he received a BBA in finance. He received his MBA from Vanderbilt University and is a CAIA charterholder.

James Willis joined BB&T Asset Management in 2003 and Sterling Capital Management through merger in October 2010. He has investment experience since 1996. As Director of Advisory Solutions, Mr. Willis is responsible for investment manager search and selection, and the oversight of Sterling’s comprehensive open architecture platform solutions.

Mr. Willis is a graduate of Rice University, where he received his BA in economics and political science. He received his MBA from Georgetown University and is a CFA charterholder.

Marc joined KPMG in 2014 as the Senior Audit Partner in Financial Services - Alternative Investments, Los Angeles. Marc’s areas of specialization are focused within the Firm’s Financial Services Group, specifically RICs, hedge funds, real estate, private equity, commodity pools and other types of investment partnerships, broker-dealers, private foundations and family offices. He is a certified public accountant in California, Colorado, New Jersey, New York and Texas.

His experience includes advising clients on organizational structure, supervision of audits and ongoing consultation with management regarding various operational, transactional and tax matters. He also advises clients on various regulatory issues impacting the industry. Marc regularly lectures on a wide variety of topics at securities industry and family office conferences, such as SALT, MAR, OPAL, IMN, Alternative Asset Summit, Institute for International Research and Family Office Wealth Conference. He has served as a guest lecturer at USC and CSUN as well as for the Estate Planning Committee and Technology User Groups of the Los Angeles Chapter of the California Society of CPAs.

Marc earned a Bachelor of Science degree in accounting from California State University at Northridge. He is a member of numerous CPA state societies, including the California Society of CPAs (CalCPA), and he has served as chairman of the Securities Industry Committee for the Los Angeles Chapter. In addition, Marc is a member of the American Institute of Certified Public Accountants (AICPA), The National Society of Compliance Professionals and The Southern California Compliance Group.

He has served on boards of various nonprofit organizations and currently serves on the Deans Council for the School of Business and Economics at California State University at Northridge, the California Hedge Fund Association and is currently President of The Beverly Hills Chamber of Commerce.

Agenda

*Please note that agenda may be subject to change

Tuesday October 14, 2014

2pm-8pmRegistration
5pm-6pmSpeaker Cocktail Reception
6pm-8pmOpening Cocktail Reception

Wednesday October 15, 2014

7:30am-
5:00pm
Registration
8:30amBreakfast
9:00amWelcoming Remarks

Mark Salameh, Context Summits

9:15amKeynote Speaker:

W. Scott Burns, Morningstar, Inc.

10:00amLiquid Alternatives: 2014 and Beyond

An overview of the trends shaping the Liquid Alternatives Landscape and what RIAs need to know now to prepare for the future.


Moderator:

Brian Haskin, DailyAlts.com


Panelists:

Christopher Maxey, LPL Research

John Pallat, Equinox Financial Solutions

John Culbertson, Context Asset Management

Tom Florence, 361 Capital

10:45amCoffee Break
11:15amEarly Adopter of Alternatives

RIAs with extensive experience using alternatives share their views and insights on liquid alternatives.


Moderator:

David Armstrong, WealthManagement.com


Panelist:

Jay W. Van Ert, CAZ Investments

Eric Goodbar, Mellon Capital Management

12:00pmLunch
1:30pm-
5:00pm
One-on-One Manager/Investor/RIA Meetings

Investors and leading alternative '40 Act funds meet for 30 minute prescheduled one-on-one meetings. RIAs have the unique opportunity to perform their own due diligence amongst various strategies by meeting one-on-one with Portfolio Managers.

1:30pmTop Due Diligence Questions RIAs Should be Asking and That Managers Should be Prepared to Answer

RIAs will learn the right questions to ask when looking at liquid alternatives that will differentiate them from their peers. Managers will gain knowledge on what to expect and be prepared to respond effectively.


Panelists:

Christopher Maxey, LPL Research

Helen Doody, Abbey Capital (US) LLC

L. Joshua Wein, Sterling Capital Management LLC

Chris Umschied, Deutsche Asset & Wealth Management

Marc Wolf, KPMG

2:15pmRegulatory Outlook for Liquid Alternatives and the Impact on RIAs

There are many lingering questions on future regulation within Liquid Alternatives Landscape. Regulatory experts will talk about what to expect and how to be prepared.


Moderator:

Reza Pishva, Dechert LLP


Panelists:

Richard Webley, Citi

Peter Shea, Katten Muchin Rosenman LLP

John Schneider, KPMG

3:00pmCoffee Break
3:30pmAlternative Fixed Income Funds in a Rising Interest Environment – Is This a Safe Harbor?

Moderator:

Andrew Dudley, Context Asset Management


Panelists:

Robert Klein, Prospect Capital

Christopher Pultz, Kellner Capital

Tim Rotolo, Sandalwood Securities, Inc.

Peter Lupoff, Tiburon Capital Management

4:15pmImplementing an Alternative ETF Strategy

An in-depth look into implementing Alternative ETF’s into your clients portfolio.


Panelists:

Jason Gerlach, Sunrise Capital Partners

Nick Cherney, Velocity Shares

5:00pm-
7:00pm
Cocktail Reception

Thursday October 16, 2014

8:00amBreakfast
8:45amWelcoming Remarks

Steve Kneeley, Context Asset Management

9:00amKeynote Speaker:

10:00amWhen is Too Little or Too Much Diversification a Bad Thing?

What is the right number of liquid alternatives to have in client portfolios?


Moderator:

David Armstrong, WealthManagement.com


Panelists:

James St. Aubin, Wilshire Associates

James Willis, Sterling Capital Management LLC

Brian Hargreaves, Carlyle Quantitative Market Strategies

Kurt Stevens, Systematic Absolute Return AG

10:45amCoffee Break
11:15amEndowment Style Investing and the Role of Liquid Alternatives

Featured Speaker:

Kevin Maloney, Gottex Fund Management

12:00pmLunch
1:30pm-
5:00pm
One-on-One Manager/Investor/RIA Meetings

Investors and leading alternative '40 Act funds meet for 30 minute prescheduled one-on-one meetings. RIAs have the unique opportunity to perform their own due diligence amongst various strategies by meeting one-on-one with Portfolio Managers.

1:30pmStructuring an Alternative '40 Act Fund

Industry experts provide a roadmap for launching an Alternative '40 Act product.


Moderator:

Bibb Strench, Seward & Kissel LLP


Panelists:

James St. Aubin, Wilshire Associates

Lisa Mougin, ALPS Fund Services

Mohsen Namazi, Imagine Software

Jeffrey Megaro, Arthur Bell, Certified Public Accountants

2:15pmManaging Longevity Risk and Volatility

Solving the retirement income dilemma.

3:00pmCoffee Break
3:30pmUnderstanding the Distribution Channels

Launching an Alternative '40 Act Fund? Readying yourself for launch and understanding how to successfully present your product to Prospects.


Panelists:

Josh Vail, 361 Capital

David Kupperman, Neuberger Berman Group, LLC

Jason Myers, Context Asset Management

Christian Hoffmann, Credit Suisse

Nicole Grogan, Deutsche Asset & Wealth Management

4:15pmMarketing 101 – What You Must Know Before Launching

Moderator:

Brian Haskin, DailyAlts.com


For speaking opportunities, please contact us at help@contextsummits.com or 908-379-3900.



Why Attend

Participate in unparalleled one-on-one prescheduled meetings between portfolio managers from leading alternative '40 Act funds and RIAs.

Cutting-edge panels will feature leading industry speakers discussing trends that are shaping the liquid alternatives landscape.

RIAs can perform their own due diligence through one-on-one meetings with portfolio managers from leading alternative '40 Act funds.

Learn and understand the process of establishing an Alternative '40 Act fund.

Fund managers will discover how to better market & communicate liquid alternatives to their clients.

Fund managers will have the ability to broaden relationships with RIAs.

Explore best practices for distribution.

Network with the industry's top professionals.

Sponsors

For sponsorship opportunities, please email sponsorship@contextsummits.com



Marquee Sponsors

Premier Sponsors

Supporting Sponsors

Media Partners

Associations






When & Where

The Context Summits Liquid Alternatives will be hosted at The Cosmopolitan of Las Vegas
on October 14th - October 16th, 2014.

The Cosmopolitan of Las Vegas
3708 S Las Vegas Blvd
Las Vegas, NV 89109


Accommodations

We have reserved a room block at the The Cosmopolitan of Las Vegas.

Contact

You can either contact us at help@contextsummits.com or 908-379-3900.

For sponsorship opportunities, please email: sponsorships@contextsummits.com

For speaking opportunities, please contact us at help@contextsummits.com or 908-379-3900.

Mailing List

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Frequently Asked Questions

Meeting Suites

What is a meeting suite?
A Meeting Suite is a semi-private meeting space, built with pipe and drape, where managers host their one-on-one meetings with investors. Each Meeting Suite is a 6’ x 8’ space which is closed on three sides and open on the fourth side. Please refer to the image to the right for an example of a Meeting Suite.

What is included in a fund manager’s Meeting Suite purchase?
Each standard Meeting Suite is equipped with a 36” seated cocktail table and four chairs. Wi-Fi will also be provided with the Meeting Suite purchase. The name of the fund will be prominently displayed. Each Meeting Suite purchase includes two attendee passes. Additional attendee passes can be purchased for $2,500 per pass.

How do I pay for a Meeting Suite?
Meeting Suites are purchased during the manager registration process. The preferred method of payment is credit card. We accept American Express, Discover, Mastercard, Visa, and Diner’s Club.

 

Please note that this is an example; the actual Meeting Suite may differ slightly in appearance.


Hotel

What hotel accommodations are available for guests?
We are in the process of reserving block of rooms. Details to follow in the coming months.


Event Format

What is the format of the Liquid Alternative Summits?
The format of the Liquid Alternative Summits is one-on-one prescheduled meetings between fund managers, investors and service providers. Managers purchase a Meeting Suite (semi-private meeting space) and are able to sit down with investors for a series of one-on-one meetings.

How long is each one-on-one meeting?
Each meeting is 30 minutes long.

What is the dress code?
The dress code is business casual. Men generally wear blazers and slacks or suits. Women typically wear business suits or dresses.


Travel

What is the closest airport to the Liquid Alternative Summit?
McCarran International Airport (LAS).