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Qualified Investor Questionnaire

Qualified Investor Questionnaire

Investments in private funds offered by Performance Trust Investment Advisors LLC (“PTIA”) are offered only to a limited number of qualified investors, without registration under the Securities Act of 1933, as amended (the “Securities Act”), and without registration under various state and provincial securities blue sky laws in reliance on exemptions therefrom. The purpose of this pre-screening questionnaire is to assist PTIA in complying with the requirements of the Securities Act and other laws. The following information is required in order to determine whether the investor (the “Investor”) will be eligible to invest in such offerings.

DEFINITION OF “ACCREDITED INVESTOR”

Section 3(a)(2) of the Securities Act of 1933

  1. Any plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions, for the benefit of its employees, if such plan has total assets in excess of $5,000,000.
  2. Any employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974 (“ERISA”) if the investment decision is made by a plan fiduciary, as defined in Section 3(21) of such act, which is either a bank, savings and loan association, insurance company, or registered investment adviser, or if the employee benefit plan has total assets in excess of $5,000,000 or, if a self-directed plan, with investment decisions made solely by persons that are Accredited Investors.
  3. A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940, as amended (the “Advisers Act”).
  4. An organization described in Section 501(c)(3) of the Internal Revenue Code of 1986 (the “Code”), a corporation, a limited liability company, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring the securities offered, with total assets in excess of $5,000,000.
  5. A natural person whose individual net worth, or joint net worth with that person’s spouse, at the time of certification exceeds $1,000,000 (excluding the value of the primary residence of such natural person).
  6. A natural person who had an individual income in excess of $200,000 in each of the two most recent years or joint income with that person’s spouse in excess of $300,000 in each of those years and has a reasonable expectation of reaching the same income level in the current year.
  7. A trust, with total assets in excess of $5,000,000, not formed for the specific purpose of acquiring the securities offered, whose purchase is directed by a person who has such knowledge and experience in financial and business matters that he/she is capable of evaluating the merits and risks of the prospective investment.
  8. A revocable trust (including a revocable trust formed for the specific purpose of acquiring the securities offered) whose grantor or settlor is an Accredited Investor and who authorizes the investment in the securities offered.
  9. An entity in which all of the equity owners are Accredited Investors.
DEFINITION OF “QUALIFIED CLIENT”

Investment Advisers Act Rule 205-3

  1. A natural person who or a company that immediately after entering into the contract has at least $1,000,000 under the management of the investment adviser;
  2. A natural person who or a company that the investment adviser entering into the contract (and any person acting on his behalf) reasonably believes, immediately prior to entering into the contract, either:
    1. Has a net worth (together, in the case of a natural person, with assets held jointly with a spouse) of more than $2,000,000 at the time the contract is entered into; or
    2. Is a qualified purchaser as defined in section 2(a)(51)(A) of the Investment Company Act of 1940 at the time the contract is entered into; or
  3. A natural person who immediately prior to entering into the contract is:
    1. An executive officer, director, trustee, general partner, or person serving in a similar capacity, of the investment adviser; or
    2. An employee of the investment adviser (other than an employee performing solely clerical, secretarial or administrative functions with regard to the investment adviser) who, in connection with his or her regular functions or duties, participates in the investment activities of such investment adviser, provided that such employee has been performing such functions and duties for or on behalf of the investment adviser, or substantially similar functions or duties for or on behalf of another company for at least 12 months.
DEFINITION OF “QUALIFIED PURCHASER”

Section 2(a)(51) of the Investment Company Act

  1. An individual who owns “investments” (as defined) in excess of $5 million;
  2. An entity which is a “family company” (defined as an entity owned directly or indirectly by or for 2 or more related persons, such as siblings, spouses and former spouses, direct lineal descendents or spouses of such persons, estates of such persons, or foundations, charitable organizations or trusts established by or for the benefit of such persons) that owns investments in excess of $5 million;
  3. An entity other than a family company, acting for its own account or the accounts of other qualified purchasers, that owns and invests on a discretionary basis investments in excess of $25 million;
  4. An entity that is a trust, not formed for the specific purpose of investing in the Fund, and each trustee or other person authorized to make decisions for the trust, and each grantor of which are “qualified purchasers”; and
  5. An entity owned entirely by “qualified purchasers.”

PLEASE COMPLETE THE FOLLOWING

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Investor class *







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Total amount of non-leveraged investments *





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Percentage allocated to alternative investments *






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Which of the following investments do you currently own? *








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Years of investment experience *






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The Investor is an accredited investor as that term is defined in Rule 501 under Regulation D of the Securities Act because: *







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Copyright 2011-2012. All Rights Reserved. Performance Trust Investment Advisors, LLC, 500 W. Madison, Ste. 470, Chicago IL 60661 | Phone: 888-282-3220 Fax: 312.521.1518

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The research and other information provided herein has been prepared for informational purposes only and is not an offer or solicitation to purchase or sell securities. Performance Trust Investment Advisors (Performance Trust) may make a market, or have a position in the securities discussed herein and may purchase or sell the same on a principal basis or as an agent. Investing involves risks, including the potential for principal loss. There is no guarantee that the strategies and services will be successful or outperform other strategies and services. Investing in bonds includes assumption of risks, including rising interest rates to decrease the value of bonds. Certain assumptions may have been made in connection with the analysis presented herein, and changes to the assumptions may have a material impact on the analysis or results. Past performance is no guarantee of future results. The investments discussed herein may be unsuitable for investors depending on their specific investment objectives and financial position. Investors should independently evaluate each investment discussed in the context of their own objectives, risk profile and circumstances. With respect to the information contained herein that has been obtained from public sources, while Performance Trust believes this information to be reliable, Performance Trust does not guarantee its accuracy, adequacy or completeness and is not responsible for any errors or omissions or for the results obtained from the use of such information.