In order to obtain access to the restricted Investor Portal section of the website, you must complete this Preliminary Suitability Questionnaire for RCM’s review. Only persons and entities who qualify as “accredited investors” and “qualified eligible persons” as defined under applicable SEC and CFTC regulations will be permitted to obtain access to this restricted section, except as RCM otherwise determines. If you are approved for access, RCM will email a password to you.
By completing and returning this Questionnaire, you acknowledge and agree to the Terms of Use and Privacy Policy contained on this web site, including in particular, Section 3 of the Terms of Use entitled “Password-Protected Areas”. RCM reserves the right to deny, or at any time to revoke, access to any person or entity, in its sole discretion. Please note that should you wish to invest in any RCM strategy, product or service, you will be required to provide additional information and satisfy certain additional eligibility requirements.
If you have any questions, please contact investments@rotellacapital.com or 425.213.5700.
Identifying Information .Please provide all of the following information regarding the person or entity that is requesting access to the Investor Portal:
First Name *
Last Name *
Title *
Address *
City and State*
Zipcode *
Country * —Please choose an option— United States Canada Afghanistan Åland Islands Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia, Plurinational State of Bonaire, Sint Eustatius and Saba Bosnia and Herzegovina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Darussalam Bulgaria Burkina Faso Burundi Cambodia Cameroon Cape Verde Cayman Islands Central African Republic Chad Chile China Christmas Island Cocos (Keeling) Islands Colombia Comoros Congo Congo, the Democratic Republic of the Cook Islands Costa Rica Côte d’Ivoire Croatia Cuba Curaçao Cyprus Czech Republic Denmark Djibouti Dominica Dominican Republic Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Falkland Islands (Malvinas) Faroe Islands Fiji Finland France French Guiana French Polynesia French Southern Territories Gabon Gambia Georgia Germany Ghana Gibraltar Greece Greenland Grenada Guadeloupe Guam Guatemala Guernsey Guinea Guinea-Bissau Guyana Haiti Heard Island and McDonald Islands Holy See (Vatican City State) Honduras Hong Kong Hungary Iceland India Indonesia Iran, Islamic Republic of Iraq Ireland Isle of Man Israel Italy Jamaica Japan Jersey Jordan Kazakhstan Kenya Kiribati Korea, Democratic People's Republic of Korea, Republic of Kuwait Kyrgyzstan Lao People's Democratic Republic Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macao Macedonia, the former Yugoslav Republic of Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Martinique Mauritania Mauritius Mayotte Mexico Micronesia, Federated States of Moldova, Republic of Monaco Mongolia Montenegro Montserrat Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands New Caledonia New Zealand Nicaragua Niger Nigeria Niue Norfolk Island Northern Mariana Islands Norway Oman Pakistan Palau Palestinian Territory, Occupied Panama Papua New Guinea Paraguay Peru Philippines Pitcairn Poland Portugal Puerto Rico Qatar Réunion Romania Russian Federation Rwanda Saint Barthélemy Saint Helena, Ascension and Tristan da Cunha Saint Kitts and Nevis Saint Lucia Saint Martin (French part) Saint Pierre and Miquelon Saint Vincent and the Grenadines Samoa San Marino Sao Tome and Principe Saudi Arabia Senegal Serbia Seychelles Sierra Leone Singapore Sint Maarten (Dutch part) Slovakia Slovenia Solomon Islands Somalia South Africa South Georgia and the South Sandwich Islands South Sudan Spain Sri Lanka Sudan Suriname Svalbard and Jan Mayen Swaziland Sweden Switzerland Syrian Arab Republic Taiwan, Province of China Tajikistan Tanzania, United Republic of Thailand Timor-Leste Togo Tokelau Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Turks and Caicos Islands Tuvalu Uganda Ukraine United Arab Emirates United Kingdom United States Minor Outlying Islands Uruguay Uzbekistan Vanuatu Venezuela, Bolivarian Republic of Viet Nam Virgin Islands, British Virgin Islands, U.S. Wallis and Futuna Western Sahara Yemen Zambia Zimbabwe
Phone *
Company Name *
Nature of business *
Are you a current Rotella Capital investor? Yes No
Suitability Information .Please check all applicable boxes regarding the person or entity that is requesting access to the Investor Portal:
A. “Accredited Investor” Status.
1. I am an individual whose net worth (or joint net worth together with my spouse) exceeds U.S. $1,000,000 (excluding the value of my primary residence). 2. I am an individual who had an individual annual adjusted gross income during the last two full calendar years exceeding U.S. $200,000 (or joint income together with my spouse exceeding U.S. $300,000). 3. I am registered in the United States as a broker/dealer, investment company, bank, savings and loan, insurance company, or private business development company. 4. I am an employee benefit plan or other plan as defined in or established under ERISA, the United States Internal Revenue Code, or the comparable provisions of state or local law, and which has total assets exceeding U.S. $5,000,000, or which otherwise qualifies as an 'accredited investor'. 5. I am a corporation, partnership, limited liability company, trust or other taxable or charitable entity which has total assets exceeding U.S. $5,000,000, or which otherwise qualifies as an 'accredited investor'. 6. I am an entity whose equity owners all themselves qualify as 'accredited investors'. 7. None of the above are applicable.
Suitability Information .Please check all applicable boxes regarding the person or entity that is requesting access to the Investor Portal:
B. “Qualified Eligible Person” Status.
1. I am an individual or entity who is an 'accredited investor' as I have indicated in Section A above ('Accredited Investor' Status), and (check one)
(a) I own securities and other investments with an aggregate market value of at least U.S. $2,000,000; or (b) I have had on deposit with a futures broker, for my own account at any time during the previous six months, at least U.S. $200,000 in initial margin and option premiums for commodity interest transactions; or (c) I own a portfolio comprised of a combination of the assets specified in Sections B.1(a) and B.1(b) above in which the sum of the assets includable under B.1(a), expressed as a percentage, and the amount of futures margin and option premiums includable under B.1(b), expressed as a percentage, equals at least 100%. An example of a composite portfolio acceptable under this B.1(c) would consist of U.S. $1,000,000 in securities and other investments (e.g., 50% of the B.1(a) requirement) and U.S. $100,000 in initial margin and option premiums (e.g., 50% of the B.1(b) requirement), for a total of 100%.
2. I am registered in the United States as a broker/dealer or futures commission merchant, or a principal thereof. 3. I am registered in the United States as a commodity pool operator, commodity trading advisor, or investment adviser, and have been so registered for at least the last 2 years, or else I have aggregate assets under management exceeding U.S. $5,000,000, or a principal thereof. 4. I am a 'qualified purchaser' as defined in Section 2(a)(51) of the United States Investment Company Act of 1940. 5. I am a trust or charitable organization whose trustee or other person authorized to make my investment decisions, is a 'qualified eligible person'. 6. I am an entity whose equity owners all themselves qualify as 'qualified eligible persons'. 7. None of the above are applicable.
