Investment Form

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Step 1 of 9

Basics
Email*
Manager Name*
Location of Business*
Are your operations professionals located in the same building as your investment professionals?*
Firm AUM*
Number of Employees*
How many are part of the Investment side of the business?*
How many are operational?*

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Fund Specific
What is the business structure of the fund?*
If other, please describe*
What is the total number of investors/separate accounts?*
What is the approximate breakdown between retirement and non-retirement accounts?*
Where have your most recent investors come from (Past 6 months)?*
If other, please describe.*
Current assets under management (Fund Level)*
Target assets under management (Fund Level)*
Please explain the target AUM*
Growth of AUM over the last year*
Growth of AUM over the last 3 years
Growth of AUM over the last 5 years
Is leverage employed?*
What is the current amount of leverage employed?*
What is the maximum amount of leverage permitted?*
If explanation is needed, please use the following box to articulate.
Is there a hedging strategy in place?*
Please describe*
Is there a lock-up?*
Please describe*
What is the window for new purchases?*
Is there a minimum investment amount?*
What is the minimum amount?*
Are there any break-points regarding the fee?
Please describe*
Do you trade in-house?
What is your capacity?*
What investment platforms is your strategy available on?
If other please list platform(s).
Is this strategy available on Envestnet?*
Do you execute your own trades or do you model trade?*
Is your product offered on any brokerage house platforms?*
What is the liquidity of the fund?
If other, please describe*
Are there any embedded capital gains or losses in the portfolio?
Please quantify*
Who is the funds auditor?*
Who is the funds legal representation?*
Who is the funds custodian (If applicable)?*
Do you send statements directly to clients?*
How often are they sent?*

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Philosophy
Describe the funds investment style/strategy?*
What differentiates your firm from your peers?*
Have you historically adhered to your current investment strategy or has it changed over time?*
How and why did it change?*
Can you provide an example of a time/market environment in which your strategy faced headwinds and discuss how your strategy adjusted/didn't adjust?*
What market conditions would we expect to see your strategy perform at its best/worst?*

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People
Can you please provide an organizational chart?
Accepted file types: jpg, gif, png, pdf.
Are investment decisions made by a portfolio manager or committee?*
Can you please provide a profile of the portfolio manager(s) and a performance track record?
Have you made any important new hires over the past year?*
Please provide additional inoformation*
What is the ownership structure of the fund and what are the incentives?*
How dependent is the firm on any one individual?*
Is there a succession plan in place should a key person leave?*
Is hiring being done in anticipation or as a reaction to growth?

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Process
What is the process for investment selection?*
What is your sell discipline?*
Is your process driven by the portfolio manager or research?*
What is your annual turnover?*
Does the manager attempt to change risk exposure when the market moves?*
Is there an SRI or ESG filter that can be added to your portfolio?*

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Performance
Please provide the last quarter, 1 year, 3 year, 5 year, 7 year and 10 year trailing annualized performance (If available) in %.
Download our example document for preferred formatting options.
Upload annualized performance
Please provide attribution for over/under performance (Best/worst Performance Years)
Attribution attachment

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Please provide the max drawdown, Sharpe Ratio, Tracking Error, Alpha, Beta and Standard Deviation (1 Year, 3 Year, 5 Year, Since Inception)
Max Drawdown 1 Year Max Drawdown 3 Years Max Drawdown 5 Years Max Drawdown Since Inception Max Drawdown as of Date
Sharpe Ratio 1 Year Sharpe Ratio 3 Years Sharpe Ratio 5 Years Sharpe Ratio Since Inception Sharpe Ratio as of Date
Tracking Error 1 Year Tracking Error 3 Years Tracking Error 5 Years Tracking Error Since Inception Tracking Error as of Date
Alpha 1 Year Alpha 3 Years Alpha 5 Years Alpha Since Inception Alpha as of Date
Beta 1 Year Beta 3 Years Beta 5 Years Beta Since Inception Beta as of Date
Standard Deviation 1 Year Standard Deviation 3 Years Standard Deviation 5 Years Standard Deviation Since Inception Standard Deviation as of Date
What is the funds benchmark and why?*

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Systems
What risk systems are in place?*
What is the source of your pricing?*
How often are the funds investments valued?*
If other, please describe*
Does the firm have audited financials?*
Are they audited annually or more often?*

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Compliance
Please provide forms ADV Part I and Part II*
Drop files here or

Accepted file types: jpg, gif, png, pdf.
Have you had or are currently dealing with any issues or actions taken against your firm?*
Please describe*
Does your firm have a business continuity plan?*
Name
This field is for validation purposes and should be left unchanged.

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Step 1 of 9

Basics

Fund Specific

Philosophy

People

Process

Performance

Systems

Compliance