Mariner Group Capital Markets, LLC Email Disclaimer
This message, including any attachments, may contain confidential, proprietary, legally-privileged information or information that is exempt from disclosure under applicable law and is intended solely for the use of the addressee named above. No confidentiality or privilege is waived or lost by any misdirected transmission. If you are not the intended recipient of this message you must not disseminate, distribute, copy or take any action in reliance on this e-mail or any attachment. Please notify the sender immediately and please delete it from your system.
This communication is for information purposes only (i.e., shall not be used for any official purpose) and may not be relied upon in any manner as legal, tax or investment advice or as an offer to sell or the solicitation of an offer to buy an interest in any fund which can only be made by a private placement memorandum that contains important information about each fund’s risks, fees and expenses (the “Offering Materials”). The information and any opinions contained herein are as of the date of this message and the firm does not undertake any obligation to update them. The communication has not been provided in a fiduciary capacity, and it is not intended to be, and should not be considered as, impartial investment advice. Past performance is not a guide to or otherwise indicative of future results. Unless otherwise noted, all return information is net of fees and expenses, reflects the reinvestment of dividends and other earnings (where applicable) and are unaudited. All information contained in this communication is not warranted as to completeness or accuracy and is subject to change without notice. This email should be considered confidential and may not be reproduced in whole or in part, and may not be circulated or redelivered to any person without the prior written consent of the Mariner Investment Group, LLC (“Mariner”) or one of its affiliates. Please note, Mariner has several “affiliated” entities as that term is defined under applicable federal securities laws which include but are not limited to Mariner Group Capital Markets, LLC. (“MGCM”), a limited purpose broker-dealer, and Mariner Investment Europe LLP (“Mariner EU”), a firm authorized and regulated by the United Kingdom Financial Conduct Authority.
The fund(s) referenced in this communication are advised or otherwise managed by Mariner and/or certain of its affiliated or otherwise associated entities (e.g., the General Partner and certain of its partners, officers, directors and employees) or certain third party entities with which Mariner or its affiliates such as MGCM or Back Office Services Group, LLC (“BOSG”) have service or other agreements. Accordingly in certain cases these affiliated or otherwise associated entities are under the common control with MGCM or have other business relationships that could be viewed as creating a conflict of interest. For example, MGCM and its registered representatives (who are employees of Mariner or an affiliate) may have a financial interest in the distribution of the securities offered for sale by the fund(s). In addition, individuals hired or otherwise associated with Mariner EU may act as marketing agents for the fund(s) and accordingly may be financially incentivized to make investment recommendations. Notwithstanding the potential conflicts of interest referenced above, please note that all remuneration paid to MGCM or Mariner EU shall be paid by Mariner and NOT the fund’s investors.
Strategies in which the fund(s) invest may involve investments in less liquid securities as well as leverage. The fund(s) are intended solely for “Accredited Investors” within the meaning of Rule 501 of Regulation D under the U.S. Securities Act of 1933, as amended and “Qualified Purchasers” within the meaning of Section 2(a)(51) of the Investment Company Act of 1940 (or investors qualifying under equivalent standards under the laws of the jurisdictions of their residence). Any products or service referred to herein may not be suitable for any or all persons.
Disclosure of Risk Factors. An investment in a hedge fund involves a significant degree of risk, which each prospective investor must carefully consider. Returns generated from an investment in a hedge fund may not adequately compensate investors for the business and financial risks assumed. While hedge funds are subject to those market risks common to other types of investments, including market volatility, hedge funds employ certain trading techniques, such as, the use of leverage, and other speculative investment practices that may increase the risk of investment loss. Other risks associated with hedge funds include, but are not limited to, high illiquidity and fees, complex tax structures that may delay the distribution of important tax information, no requirement that periodic pricing or valuation reports be provided to investors, lack of regulatory requirements applied to mutual funds, limited operating history, lack a secondary market for an investor’s interest in the fund and none may be expected to develop, performance that is volatile and restrictions on transferring interests in the fund. In addition, a hedge fund may have a fund manager who has total trading authority over the fund and the use of advisers applying generally similar trading programs could mean a lack of diversification, and consequentially, higher risk. The foregoing is only a summary of certain risks associated with an investment in a hedge fund. Before making an investment in any fund, prospective investors are advised to thoroughly and carefully review the Offering Materials with their financial, legal and tax advisors to determine whether an investment is suitable for them.
Mariner, including its affiliates, does not guarantee that the integrity of this communication has been maintained, or that this communication is free of viruses, interceptions or interference. Mariner, including its affiliates does not accept liability for any errors or omissions arising as a result of this transmission, or for any delay in its receipt or damage to your system. Thank you.