How can I get more information on your strategies?
Because of SEC regulations, GRT Capital may only give more detailed information about its strategies to investors that meet certain requirements. Generally, information can be provided to consultants, brokers, investment advisers, family offices, consultants, benefit plans, investment entities, and fund of funds, corporations, trusts, and similar institutions. In some cases, information is also available to individuals who meet certain net worth and other regulatory qualifications. More detailed information is only available to “accredited investors,” as defined by the SEC. The definition of this term is listed in the section below. You must complete a registration form before access to more complete information can be provided. A representative of GRT Capital will contact you after reviewing the information submitted. If you have any questions or prefer to speak to a GRT Capital representative, please call Amanda Kuhl at 617-226-1777 or email firstname.lastname@example.org.
How can I see your investment results?
For more detailed information on GRT Capital Partners, you will need to be an “accredited investor”. Read the section below to learn what that means. If you are an accredited investor, you must complete a registration form before access to more information can be provided. A representative of GRT Capital will contact you after reviewing the information submitted. If you have questions or prefer to speak to a GRT Capital representative, please call Amanda Kuhl at 617-226-1777 or email email@example.com.
The federal securities laws define the term accredited investor in Rule 501 of Regulation D. For your convenience, we have summarized parts of that definition below. Click here for a link to the complete Rule 501(a).
To be an accredited investor, a natural person must:
1. Have individual net worth, or joint net worth with that person’s spouse, that exceeds $1,000,000 (excluding the person’s primary residence and excluding the greater of (a) any mortgage indebtedness in excess of the estimated fair market value of the residence, or (b) mortgage indebtedness in excess of the amount of such indebtedness 60 days prior to the current date), or
2. Have individual income in excess of $200,000 in each of the two most recent years or joint income with a spouse in excess of $300,000 in each of those years and a reasonable expectation of the same income level in the current year
To be an accredited investor, a trust must:
1. Have assets in excess of $5 million,
2. Not be formed for the specific purpose of acquiring the securities offered, and
3. Have purchases directed by a sophisticated person (The SEC defines “sophisticated person” as a person that “...has such knowledge and experience in financial and business matters that he is capable of evaluating the merits and risks of the prospective investment....”)
TAX EXEMPT CHARITABLE ORGANIZATION
To be an accredited investor, a tax exempt charitable organization must:
1. Have assets in excess of $5 million, and
2. Not be formed for the specific purpose of acquiring the securities offered.
EMPLOYEE BENEFIT PLANS
To be an accredited investor, an employee benefit plan (within the meaning of the Employee Retirement Income Security Act of 1974, otherwise known as "ERISA") must:
1. Have the investment decision made by a plan fiduciary which is a bank, insurance company, or registered investment adviser,
2. Have total assets in excess of $5 million, or
3. Be a self-directed plan, with investment decisions made solely by persons that are accredited investors.
To be an accredited investor, a corporation or partnership must:
1. Have assets in excess of $5 million,
2. Be an entity in which all the equity owners are accredited investors or,
3. Be a bank, insurance company, registered investment company, business development company, or small business investment company
What are “alternative investments”?
Alternative investments are investments which are less commonplace than traditional, long holdings of just stocks and bonds that are widely traded. Frequently, alternative investments are available in the form of interests in pooled investment vehicles organized as limited partnerships. These interests are not registered with the SEC and are only available to “accredited investors.” These interests involve substantial investment risks; Alternative investment vehicles pursue investment strategies with widely ranging return and volatility characteristics. Alternative investment vehicles generally are more flexible in their investment approach through the use of short selling, derivatives and leverage. While this flexibility can improve risk/return characteristics, the leverage and use of derivatives may increase the overall risk.