Operational Due Diligence

March 3, 2010

Arzi, David Z. of Marathon Asset Management, LLC

Filed under: Fund Managers — kh @ 1:10 pm

An August 2002 article quotes Mr. Arzi as being pleased with his company’s partnership with PFSC. It also confirms his past employment with CDC IXIS.

An article from October of 2004 quotes Mr. Arzi regarding the collaboration of Marathon Finance Fund helping Winston Hotels to finalize a credit facility.

A May 2002 article confirms David Arzi’s position with CDC as a director, and also mentions that he previously worked for Lehman Brothers.

Aharonian, Hardutoun (Harry) of M.A.G. Capital, LLC

Filed under: Fund Managers — kh @ 1:09 pm

Harry Aharonian was quoted in many articles regarding MAG Capital’s financing and investing decisions.

Magida, Martin David of Sandhurst Capital, LLC

Filed under: Fund Managers — kh @ 1:09 pm

In 2002 Martin Magida was hired by Investec PMG as a SR. VP.

Martin Magida is quoted in an article about Investec and its expansion of investment banking business.

In 1999 Martin Magida was hired at PaineWebber Inc.

Kamisher, Eric Scott of Whitecap Advisors, LLC

Filed under: Fund Managers — kh @ 1:08 pm

Eric Scott Kamisher of Whitecap Advisors, LLC

Chambers, Robert L. of Ranger Advisors, LP

Filed under: Fund Managers — kh @ 1:08 pm

Ranger Advisors, LP was Ranger Capital Group’s first fund. In turn Ranger Advisors is the investment manager of Ranger Multi-Strategy, LP and Ranger Multi-Strategy Enhanced, LP.

An August 2001 article stated that Ranger Capital was preparing for an October 1st launch. This record mentioned Robert Chambers as chief financial officer at Ranger.

A December 2001 article stated that Ranger Capital was a client of Paramus, N.J.-based Organizer Systems. Ranger Capital bought the application-service provider in September and has a $140 million fund-of-fund business.

A February 2004 press release announced the hiring of HFR Senior Portfolio and Risk Analyst Barry A. Higgins to Ranger Advisors.

Robert Chambers was a speaker at the Hedge Fund Seminar Series – Dallas in December 2004.

White, Jason of Reliant Consultants, Inc.

Filed under: Fund Managers — kh @ 1:07 pm

Jason White of Reliant Consultants, Inc.

Prokupek, David Paul of Geronimo Partners, LLC

Filed under: Fund Managers — kh @ 1:07 pm

David & Marcie Prokupek have two daughters, Rachel and Sydney. Marcie helped get Geronimo Partners started in its first year, working part-time on the financial end of the business.

David Prokupek, chief executive of Geronimo Partners, is quoted in several articles. He is also quoted in a number of articles from the mid 1990s through 2000 as the CEO and principal of Tucker Anthony and Cleary Gull.

In 1991, Valley Advisors alleged that three of its former officers drained more than $1.2 million from the company for their personal use. The officers — former President David Prokupek, former Vice President Peter Coker, and Michael Moss, a former officer — denied the allegations. In 1992, Valley Advisors settled the lawsuit out of court. Valley Advisors owns Unclaimed Freight furniture stores and are located in PA.

In April 1995 it was announced that Cleary Gull Reiland & McDevitt Inc., had formed a strategic alliance with Stolberg Partners, a New York-based private equity investment firm.

In November 1999 Tucker Anthony Cleary Gull announced it was moving its headquarters from Milwaukee to Denver.

An April 2003 article reported that Geronimo Partners and Santana Partners announced that the two firms had combined operations to provide clients with expertise in both alternative investment management and investment banking.

In August 2005 Geronimo Partners Asset Management LLC said it planned to launch three hedge funds as part of the Unified Series Trust group of funds. In a filing with the U.S. Securities and Exchange Commission, the asset manager said the three funds, the Geronimo Enhanced Hedge Fund Index Fund, the Geronimo Sector Opportunity Fund and the Geronimo Option & Dividend Income Fund will strive to achieve investment returns in excess of the three-month Treasury bill across full market cycles and most market conditions.

In October 2005 Geronimo Partners selected International Private Banking Systems as technology provider.

Kelly, Daniel James of Formula Capital, LLC

Filed under: Fund Managers — kh @ 1:06 pm

Daniel James Kelly of Formula Capital, LLC

Kaplowitz, Jay Martin of Formula Capital, LLC

Filed under: Fund Managers — kh @ 1:05 pm

Jay Martin Kaplowitz of Formula Capital, LLC

Hylton, Luzia B. of Paloma Partners, LLC

Filed under: Fund Managers — kh @ 1:05 pm

Luzia B. Hylton of Paloma Partners, LLC

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