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.
If you have any questions, please contact firstname.lastname@example.org or 312.467.2700.
Contact InformationContact Information
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 *
City and State*
Country * —United StatesCanadaAfghanistanÅland IslandsAlbaniaAlgeriaAmerican SamoaAndorraAngolaAnguillaAntarcticaAntigua and BarbudaArgentinaArmeniaArubaAustraliaAustriaAzerbaijanBahamasBahrainBangladeshBarbadosBelarusBelgiumBelizeBeninBermudaBhutanBolivia, Plurinational State ofBonaire, Sint Eustatius and SabaBosnia and HerzegovinaBotswanaBouvet IslandBrazilBritish Indian Ocean TerritoryBrunei DarussalamBulgariaBurkina FasoBurundiCambodiaCameroonCape VerdeCayman IslandsCentral African RepublicChadChileChinaChristmas IslandCocos (Keeling) IslandsColombiaComorosCongoCongo, the Democratic Republic of theCook IslandsCosta RicaCôte d’IvoireCroatiaCubaCuraçaoCyprusCzech RepublicDenmarkDjiboutiDominicaDominican RepublicEcuadorEgyptEl SalvadorEquatorial GuineaEritreaEstoniaEthiopiaFalkland Islands (Malvinas)Faroe IslandsFijiFinlandFranceFrench GuianaFrench PolynesiaFrench Southern TerritoriesGabonGambiaGeorgiaGermanyGhanaGibraltarGreeceGreenlandGrenadaGuadeloupeGuamGuatemalaGuernseyGuineaGuinea-BissauGuyanaHaitiHeard Island and McDonald IslandsHoly See (Vatican City State)HondurasHong KongHungaryIcelandIndiaIndonesiaIran, Islamic Republic ofIraqIrelandIsle of ManIsraelItalyJamaicaJapanJerseyJordanKazakhstanKenyaKiribatiKorea, Democratic People's Republic ofKorea, Republic ofKuwaitKyrgyzstanLao People's Democratic RepublicLatviaLebanonLesothoLiberiaLibyaLiechtensteinLithuaniaLuxembourgMacaoMacedonia, the former Yugoslav Republic ofMadagascarMalawiMalaysiaMaldivesMaliMaltaMarshall IslandsMartiniqueMauritaniaMauritiusMayotteMexicoMicronesia, Federated States ofMoldova, Republic ofMonacoMongoliaMontenegroMontserratMoroccoMozambiqueMyanmarNamibiaNauruNepalNetherlandsNew CaledoniaNew ZealandNicaraguaNigerNigeriaNiueNorfolk IslandNorthern Mariana IslandsNorwayOmanPakistanPalauPalestinian Territory, OccupiedPanamaPapua New GuineaParaguayPeruPhilippinesPitcairnPolandPortugalPuerto RicoQatarRéunionRomaniaRussian FederationRwandaSaint BarthélemySaint Helena, Ascension and Tristan da CunhaSaint Kitts and NevisSaint LuciaSaint Martin (French part)Saint Pierre and MiquelonSaint Vincent and the GrenadinesSamoaSan MarinoSao Tome and PrincipeSaudi ArabiaSenegalSerbiaSeychellesSierra LeoneSingaporeSint Maarten (Dutch part)SlovakiaSloveniaSolomon IslandsSomaliaSouth AfricaSouth Georgia and the South Sandwich IslandsSouth SudanSpainSri LankaSudanSurinameSvalbard and Jan MayenSwazilandSwedenSwitzerlandSyrian Arab RepublicTaiwan, Province of ChinaTajikistanTanzania, United Republic ofThailandTimor-LesteTogoTokelauTongaTrinidad and TobagoTunisiaTurkeyTurkmenistanTurks and Caicos IslandsTuvaluUgandaUkraineUnited Arab EmiratesUnited KingdomUnited States Minor Outlying IslandsUruguayUzbekistanVanuatuVenezuela, Bolivarian Republic ofViet NamVirgin Islands, BritishVirgin Islands, U.S.Wallis and FutunaWestern SaharaYemenZambiaZimbabwe
Company Name *
Nature of business *
Are you a current Rotella Capital investor?YesNo
Accredited Investor StatusAccredited Investor Status
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.
Qualified Eligible Person StatusQualified Eligible Person Status
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.
Electronic SignatureElectronic Signature
By typing the name of the person or entity that is requesting access to this Investor Portal, I confirm that the information provided in this Questionnaire is accurate and complete to the best of my knowledge and belief. I will notify RCM promptly if any of my answers change.
Name of Prospective Investor *
Your Email *
A password will be e-mailed to you.
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