WAISC

WAISC WEST Product Showcase 2012



Sure to be one of the highlights of WAISC West 2012 – the Fund Manager & EMP Showcase is…Where End Investor Meets Manager!

 

Delegates have an opportunity to hear directly from alternative investment managers. Presented in rapid-fire segments, this format facilitates fast acquisition of facts and allows direct access to the information you need.

 

These showcases will allow you to hear from up-and-coming managers as well as more established managers.

 


For additional information please contact us at:
T: 416 306 0151
E: info@radiusfinancialeducation.com


 

 

 

COMPANY DESCRIPTIONS

Axcess Capital Advisors is part of the Axcess Capital Group of Companies headquartered in Calgary, Alberta, as is a registered Investment Fund Manager, Restricted Portfolio Manager, and Exempt Market Dealer specializing in investments in real estate debt.
The Axcess Capital Group was founded in 2002 to provide investment products by way of secured mortgage funds and syndications that are independently underwritten by our experienced team of real estate lenders on Western Canadian real estate. We are committed to product excellence, investment security, and professional service.
Axcess Capital Advisors was formed in 2010 to provide investment fund management services to the existing Axcess Capital Group investment funds, and have since expanded to offer these services to others in the mortgage investment field. We currently have six mortgage investment funds under administration. These mortgage investment products are offered across Canada as exempt products under NI 31-103 through a network of investment and portfolio advisors.
Further information about the Axcess Capital Group of Companies can be found on our web site at www.axcesscapital.com.


Rod Burylo
For 25 years, Rod Burylo has worked throughout financial services industry for various organizations, including Royal Bank, Investors Group, and number of specialized investment and planning organizations. He has earned various designations, including CFP, and is the recipient of the prestigious Advisor of the Year Award. In more recent years, Rod has worked exclusively with alternative investment strategies and a focus on real estate related investments, helping to build leading companies within the sector.
Throughout his career, Rod has contributed enthusiastically to the public education and professional development as writer and teacher. He has authored three books and dozens of published articles, and has provided lectures and keynote presentations throughout North America.

Auspice Capital Advisors Ltd. is a Canadian based registered Portfolio Manager / Investment Council and a registered CTA and NFA member.
Auspice’s core expertise is managing commodity risk and designing and executing systematic trading strategies. Auspice trades over 30 different commodities for its strategies. On the active investment side, Auspice manages the Auspice Diversified Program and the Auspice Energy Program. On the passive side, Auspice is the investment manager for the iShares Natural Gas Commodity Index Fund, the iShares Broad Commodity Index Fund, and the Horizons Auspice Managed Futures Index ETF. Auspice has also licensed the Auspice eBeta Enhanced Indices to Direxion Funds of New York for the Direxion Indexed Commodity Strategy and the Direxion Indexed Managed Futures Strategy fund. In addition, Auspice was instrumental in the creation of the NGX Canadian Natural Gas Index in conjunction with the TSX and NGX.

 

Tim Pickering
Tim Pickering, Founder and President of Auspice Capital Advisors (Auspice), is the lead portfolio manager and CIO with over 15 years of commodity and financial trading experience. Prior to forming Auspice, Tim was Vice President of Options Trading at Shell Trading Gas and Power in the Houston and Calgary offices. Tim began his career at TD Securities in Toronto in their elite trading development program. He gained experience in a wide expanse of capital market products including foreign exchange, bonds, money markets and derivatives. Ultimately, Tim held the Senior Trader position for the energy derivatives portfolio. Tim has extensive experience trading OTC and exchange traded options, futures, swaps and quantitative trend following systems.
With partner Ken Corner, Tim Pickering has built Auspice Capital Advisors as a next generation CTA, offering strategies in active managed futures (Diversified and Energy), passive ETFs, enhanced indices and custom commodity strategies. Auspice was selected as one of Alberta’s 50 fastest growing companies by Alberta Venture Magazine and KPMG for both 2010 and 2011. Auspice is also the winner of the 2011 Silver medal from Morningstar in the category of Best Opportunistic Hedge Fund in Canada.
In 2010, Auspice launched the third generation Auspice eBeta™ indices: the Auspice Broad Commodity and Managed Futures Indices are NYSE published. The first was licensed by Claymore and is sub-advised by Auspice as an ETF, CBR:TSX. Both indices have been licensed by Direxion Funds and launched in February 2012 as mutual funds in the U.S. Most recently, Horizons ETFs (member of the Mirae Asset Financial Group) has licensed the Managed Futures index for an ETF in Canada launching March 2012. Additionally, Auspice is funding the Pulse Auspice Energy Fund, a multi-strategy, multi-time period quantitative approach to investing in the global energy futures markets in partnership with Pulse Capital of New York.

Donville Kent Asset Management Inc. is a highly specialized asset management firm that manages investments on behalf of individual investors as well as select institutions.
Through the application of our focused investment strategy, we search for companies that possess high levels of return on equity, reasonable valuations and positive share price momentum.
Collectively, our principals have extensive global experience in portfolio management, equity research and trading. Unlike many traditional investment firms, our portfolio managers are the largest investors in our funds. This commitment results in the highest possible alignment of interest with our clients and is a key component of our success.


Jordan Zinberg
Jordan Zinberg is a Partner and Vice President at Donville Kent Asset Management and has been with the firm since 2009. Prior to joining Donville Kent, Jordan spent 7 years with one of Canada’s largest investment firms, with experience in both trading and portfolio management. Jordan has an MBA from the Schulich School of Business, holds the Canadian Investment Manager designation and is a Fellow of the Canadian Securities Institute. In addition, Jordan is a regular guest on BNN’s Market Sense. The Donville Kent Capital Ideas Fund is one of Canada’s top performing hedge funds, and was awarded the Best New Fund in Canada at the 2009 Canadian Hedge Fund awards.



Fiera Capital Corporation is an independent full-service, high quality, strongly capitalized investment management firm with approximately $54 billion in assets under management.
Fiera Capital is driven by an aspiration to constantly deliver optimal performance in everything we do. Our structure promotes excellence within our specialized investment teams by combining the flexible and efficient environment of a multi-style investment manager with the scale of resources offered by one of Canada's leading investment firms. Integrated investment solutions diversified by asset class, strategy and risk management are the key to our superior returns.
Our people and teams possess a wealth of experience and expertise in equity and fixed income management, asset allocation, alternative investment solutions and financial engineering. This expertise is leveraged to develop and execute diversified investment strategies tailored to the unique needs and objectives of our three key client groups: Institutional Markets, Private Wealth and Investor Solutions.
With offices in Toronto, Montreal, Vancouver and Boston, Fiera Capital has over 200 employees, of whom approximately 75 are dedicated investment professionals servicing our diverse clientele of institutional investors, mutual funds, charitable organizations and private individuals.


James Dungate
James Dungate is responsible for the development of Fiera Capital’s business with financial advisors in Western Canada.
Mr. Dungate has more than 15 years of diversified experience in the investment management industry.
Mr. Dungate graduated from the University of British Columbia with a Bachelor of Arts majoring in International Relations.



Formula Growth Limited is an independent investment firm established in Montreal since 1960 with a long-term track record of creating investor wealth by managing long and long/short equity portfolios for high net worth individuals, family offices and institutional investors. Combining over 50 years of fundamental bottom-up research knowledge with our Montreal, New York City and Hong Kong offices provides us with the speed of execution and global perspective on new emerging opportunities in the small to medium cap space.

 

Anthony Staples
Anthony Staples is Vice President & Senior Portfolio Manager of Formula Growth. Over the last 15 years, Anthony has specialized in U.S. small capitalization public equities with a particular emphasis on the technology, business services, consumer and healthcare sectors. Anthony joined Formula Growth in 1997 after four years with a Montreal-based investment management firm focused on private equity investing. Anthony is also a part time lecturer in applied investments at McGill University and a mentor in the Kenneth Woods Portfolio Management Program at Concordia University. A graduate of McGill University in Economics, he also holds the Chartered Financial Analyst designation.

FrontFour Capital launched their Value Event Driven Fund in the US on January 1st 2007. In 2011 they established FrontFour Capital Corp in Canada registered with the BCSC, to run the FrontFour Opportunity Fund for Canadian investors, which mirrors the positions and strategy of the master fund.
FrontFour Capital invests with a focus on value oriented event driven opportunities in North America. The principals make investment decisions based on a diligent, fundamentally driven research process in order to profit from opportunities where there are catalysts or events that will unlock value. The investment process aims to identify the most attractive risk adjusted return across the capital structure, then employ specific trading strategies intended to generate superior risk adjusted returns over a cycle. The fund seeks to isolate alpha from “events” and hedge the portfolio from broader market beta and exogenous shocks through the use of a robust short/hedge book.

 

Andrew Ellott
Andrew Ellott joined FrontFour full time in 2011 as Head of Marketing and Business Development. Prior to that he had been closely involved with FrontFour for a number of years through his prior firm, Weston Capital, a Connecticut based asset management company with over $1 billion in AUM. Weston had seeded FrontFour with $30m back in 2007. Andrew was with Weston Capital between 2002 and 2011 responsible for marketing the firm’s platform of hedge funds including over ten hedge funds that Weston had seeded between 2004 and 2007. Andrew began his career in London, England in 1987 working for Chase Manhattan Bank on both the equity trading desk as well as in the economics and research groups, before moving into the banks Foreign Exchange and Capital Markets division. In 1991 he was hired by Swiss Bank Corporation as a VP of their FX Institutional sales desk, marketing FX cash and options to the banks top institutional clients. In 1995, he was hired by NationsBank as part of their major push to become a leading player in the FX and Options markets globally. In the late 1990’s Andrew moved to Vancouver, Canada where he is based today. Andrew was educated in the UK, and attended the City University Business School (CASS) in London graduating in 1987 with a BSc (Honors) in Banking and International Finance. Andrew is Series 7 and Series 64 registered in the US.

Kootenay Capital Management Corp. is an independent, Calgary-based asset management firm operating a directional long/short energy fund. Kootenay employs a fundamental value approach to identify over-and under-valued equities covering the spectrum of sub-sectors in the energy industry. Kootenay’s Global Energy Absolute Return Fund maintains a dedicated hedging strategy, with the objective of compounding capital at a stable rate, while maintaining volatility below the energy index, to maximize return per unit of risk. The fund’s beta has averaged 0.43 to the S&P/TSX Capped Energy Index since inception, with volatility at approximately half of the benchmark.
The fund is managed by two top-ranked oil and gas analysts, Chris Theal, CFA, CIM, and Leon Knight, CFA. Both have been independently recognized for their energy sector knowledge, idea generation and stock picking. For more information, visit www.kootenaycapital.com or email info@kootenaycapital.com.

 

Chris Theal
Mr. Theal founded Kootenay Capital Management Corp. in the fall of 2010 to manage the Kootenay Global Energy Absolute Return Fund, which launched in July 2011. Prior to founding Kootenay, Mr. Theal was a top-ranked oil and gas analyst for thirteen years. He most recently led the global oil & gas team as Global Coordinator, Oil & Gas Research, at Macquarie Securities. Mr. Theal was a founding Capital Markets partner, Head of Energy Research and member of the Executive Committee at Tristone Capital – a global energy investment boutique – prior to Macquarie acquiring Tristone in 2009. Prior thereto, Mr. Theal was an oil and gas analyst at CIBC World Markets. Mr. Theal is a CFA Charterholder and holds the CIM designation. He has a MBA in Finance, from the University of British Columbia, an undergraduate degree in economics, with distinction, from Royal Roads Military College and received the Sword of Honour as the top all-round graduate in the class of 1992. He was an officer in the Canadian Navy and was awarded the United Nations Peacekeeping Services medal for UN service abroad. The company name “Kootenay” is derived from HMCS Kootenay – a river class destroyer on which Mr. Theal served all of his operational sea time prior to entering the energy industry in 1997.

The Optimus US Real Estate Fund is a rare opportunity to capitalize on an unprecedented downturn in US real estate prices. Designed with investors in mind, the fund optimizes both Canadian and US tax treatments and is RRSP eligible. The highly skilled and dedicated management team has more than $3 billion in real estate acquisitions and financing experience. They themselves have invested nearly $16 million of their own cash into the Optimus US Real Estate Fund.
Fund Highlights:
• Cash flow: dividends paid three times per annum
• RRSP eligible (existing Funds or new Funds)
• $10,500 Cdn. minimum investment
• Focus on multi-family unsold inventory, condo conversions – "fractured condos"
• Experienced management – over $3 billion transacted
• $16 million invested by management
• Tax efficient structure by KPMG

 

Francois Le Bel
Francois has more than 20 years of experience in business development and sales in sectors ranging from privatization of public infrastructure to digital security for telecommunications and banking applications. Augmenting his extensive sales and business development experience with a Master's degree in Civil Engineering, Francois brings a balance between high level customer service and an analytical approach to providing client solutions.



Raintree Financial Solutions is an Edmonton-based Exempt Market Dealer. We represent various investment opportunities and are committed to providing the highest possible level of service and professionalism for our Dealing Representatives and their clients.
Prior to the creation of the Exempt Market Dealer, many people had to rely on unregulated market dealers across Canada. Raintree Financial Solutions acts as a bridge between clients and a network of Dealing Representatives to create the best investment possibilities while complying with protective government regulations.
Raintree is 100% transparent. We are not financially tied to any of the products we offer - in other words, we do not offer our own products: every investment that we sell is a third party offering. This prevents any conflict of interest in the promotion of the products we offer. Whether you are a client, Dealing Representative or product provider, you can be sure that every product we carry is on our shelf based on its own merit as an investment and not because we have an added incentive to promote it.
Relationships should benefit all parties involved. Fundamentally, we believe that relationships thrive when each party considers the perspective of the other parties. We try to look at everything from our clients' or representatives' point of view — we firmly believe that this practice will yield lasting relationships with our clientele.

 

Kyle Jacober
Kyle began his investment career over twelve years ago specializing in mutual funds. Learning the investment ropes early, he developed a professional framework for success. In building his own exempt market investment business, Kyle never wavers from this framework which is founded on four principles:
1) building trusted and sincere relationships is a most precious privilege,
2) You have to have a genuine desire to help people to be successful
3) listening and understanding client needs is the only way to build relationships
4) investing time and energy in market research and analysis is a key differentiator.
As markets declined in previous years, Kyle successfully navigated the markets for his clients by upholding his framework for success, one of many accomplishments he takes pride in. If you are working with Kyle, you’ll find that he loves to laugh, is diligent, resourceful and determined. He also has a creative talent for problem solving.
Today, Kyle is Vice President of Business Development for Raintree Financial Solutions, a partner and client advisor. He is passionate about building the business and is charged about building wealth for his clients. Kyle is always looking for ways to continue to be a leader in his field and for his clients.
Kyle has a Bachelor's Degree in Theology from Northwest Bible College. He also holds his Life Insurance License and Accident and Sickness License.
Kyle is married with two children and accredits his wife with the hardest job in the world: raising their children. He also has a passion for mountain biking in the summer and snowboarding in the winter.
What moves Kyle most is watching his children ride bikes, play soccer and grow up.
You can contact Kyle at (780) 709-5595



Ross Smith Asset Management was founded in 2007 and is the Investment Manager for the Ross Smith Capital Investment Fund and Ross Smith Opportunities Fund. Ross Smith Capital Investment Fund has an established track record of providing investors with low-risk returns that are uncorrelated with returns from the equity, fixed income or commodities markets. The Fund utilizes quantitative analysis, advanced financial modeling and superior trading technology to identify and execute arbitrage trading opportunities in the public markets. The Fund’s opportunity set includes convertible debentures, closed-end funds, split shares, preferred shares, warrants, rights and subscription receipts, as well as other special situation investments.
Ross Smith Opportunities Fund trades a more traditional risk-arbitrage mandate focused on event-driven situations and corporate events including mergers, acquisitions, takeovers, tender offers, liquidations, spin-offs, stubs, capital structure arbitrage, convertible securities and other relative value investments. The Opportunities Fund seeks value throughout the capital structure including equity, credit and derivative securities with a global mandate focused on Canadian opportunities.

Weston Pring
Weston Pring has served as the Chief Investment Officer of Ross Smith Asset Management since its inception in 2007. Weston has been awarded the Chartered Financial Analyst designation by the CFA Institute and the Derivatives Market Specialist and Canadian Investment Manager designations by the Canadian Securities Institute. Weston previously worked with BMO Capital Markets helping energy producer and consumer clients design and execute their foreign exchange and commodity hedging portfolios. In 2005, Weston co-founded Energylogix Financial Products Ltd., where he was one of two founding principals focused on creating energy-related investment products for retail and institutional investors. Weston is a graduating member of the Calgary Portfolio Management Trust from the Haskayne School of Business at the University of Calgary.

 


Silver Falls is a public offering to develop 35 oceanfront villas within a private residence club on “Possession Point”, a dramatic West Coast peninsula within Greater Victoria on the extreme southwestern tip of Vancouver Island.
Possession Point is internationally mapped, and is within the Silver Spray lands, between Moonlight Bay and Emerald Beach. It has 2,800 feet of sunrise, surging surf and sunset waterfront and features panoramic views to the east, south and west.
The solid rock foreshore rises 65 feet above the sea, offering natural tsunami protection and a front row oceanfront experience abundant with native wildlife.
The property borders a Wilderness Park that extends east as far as the eye can see, preserving 10 km of south-facing oceanfront, pristine pocket beaches, abundant tidal pools, a large pelagic cormorant roost, ancient native petroglyphs and 50 km of nature trails winding through a temperate rainforest that is three and a half times larger than Vancouver’s Stanley Park.
For a brief video tour of the site, visit www.silverfalls.ca.

Michael Thornton
Michael Thornton is CEO of Silver Falls Development Inc., and the founder of Home Equity Development Inc., a B.C. real estate investment management firm that has structured more than two-dozen syndicated offerings, profit-sharing partnerships and RRSP funds since 1988.
There is a feature story on Michael and the Silver Falls & Silver Spray Development in the Summer 2012 Canadian Business Executive Magazine, a print and online publication serving 250,000 leading business executives across Canada.
As an issuer to Exempt Market Dealers, Michael will be speaking on some key features that he feels differentiate a successful real estate investment, and will briefly summarize the Silver Falls Victoria offering.
Name of Talk: How to avoid Real Estate 'Land Mines'


Tricoastal Capital Management Ltd. offers a discretionary global equity strategy through its Tricoastal Capital Partners LLC fund. Our Global Equity Macro strategy is an investment approach with two significant characteristics:

1. It’s Global Equity
We invest primarily in stocks, anywhere in the world, without a bias for either:

• Emerging or Developed Markets;
• Growth or Value Stocks;
• Large Cap, Mid Cap or Small Cap

2. It’s Macro
This means that we buy sectors, not companies. Sectors, as we see it, are groups of companies or commodities that share a common characteristic such as:

• Industry
• Geography
• Valuation
• Size
or any combination of those four items.

Positions are typically held for four months and the portfolio is rebalanced monthly. No leverage is used.
The Fund is benchmarked to the HFRX Global Hedge Fund Index and has earned a 5-star Morningstar™ rating.

Keith Summers
Keith founded Tricoastal Capital in 2004. He is responsible for managing the portfolio as well as managing the firm. Keith has been managing investment portfolios for twenty years. His prior portfolio management mandates have included:

• Managing an $800M multi-family office.
• Managing an $8B high net worth investment platform.
• Managing a $1.4B global balanced fund.
• Managing a $300M bond fund.

He worked in commercial banking from 1987 to 1991 and public sector finance from 1991-1993.
He is appeared hundreds of times on television as a market commentator and has spoken at several hedge fund conferences.
He graduated with a B.A in Political Science from McMaster University in 1987 and completed an MBA from McMaster University in 1997. He was awarded the CFA Charter in 2000.