June Afternoon Seminar: '40 Act Case Studies

June 25th, 2014


4:00-5:00     Things to Consider Before Agreeing to be an Advisor to a '40 Mutual Fund

  • Implications of different market conditions
  • Various strategies and how they relate to liquid alts
  • Finding the most appropriate structure
  • Performance and benchmarks
  • Investor categories and their respective needs (high net worth, institutions, retirement plans)
  • Distribution channels and platforms
  • Fees and expenses
  • SEC initiative
  • etc

5:00-6:00     Manager case studies (what has worked, what hasn't)

  • Three managers representing various sized organizations and strategies share their experiences and decision-making processes.


  • Bob Dorsey, Ultimus Fund
  • Nick  Prokos , ACA Compliance Group
  • Larry Chiarello, Skyview Advisors
  • Joe Wade, Meritage Capital LP
  • Dane Czaplicki, Long Short Advisors


Sponsored By:



ACA compliance group

We are sorry but registration for this event is now closed.

Please contact us if you would like to know if spaces are still available.