Fund Name: Direct Lending Income Fund
Adviser: Direct Lending Income Fund Advisors LLC
Sub-Adviser(s): None
Fees: 1% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $25,000 minimum initial investment; $5,000 minimum subsequent investment
Filing Date: Dec. 31, 2015
Effective Date: Pending
   
Fund Name: Stone Ridge Trust V
Adviser: Stone Ridge Asset Management LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $15 million minimum initial investment for institutional investors and their clients; No minimum for other client groups
Filing Date: Dec. 11, 2015
Effective Date: Pending
   
Fund Name: Sound Point Alternative Income Fund
Adviser: Sound Point Capital Management LP
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End
Investor Restrictions: None specified
Filing Date: Dec. 11, 2015
Effective Date: Pending
   
Fund Name: NorthStar Global Corporate Income Master Fund
Adviser: NSAM B-CEF Ltd.
Sub-Adviser(s): OZ Institutional Credit Management LP
Fees: 2% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase; Master fund)
Investor Restrictions: Accredited investor
Filing Date: Dec. 7, 2015
Effective Date: Pending
   
Fund Name: NorthStar Global Corporate Income Fund-T
Adviser: NSAM B-CEF Ltd.
Sub-Adviser(s): OZ Institutional Credit Management LP
Fees: Master fund pays 2% management fee
Open- or Closed-End: Closed-End (Quarterly repurchase; Feeder fund)
Investor Restrictions: $4,000 minimum initial investment; $500 minimum subsequent investment
Filing Date: Nov. 25, 2015
Effective Date: Pending
   
Fund Name: NB Crossroads Private Markets Fund IV
Adviser: Neuberger Berman Management LLC
Sub-Adviser(s): NB Alternatives Advisers LLC
Fees: Master fund pays 0.10% during the first 12 months following the fund's commencement of operations; 0.55% beginning in year two through the end of year eight from the commencement of operations; and 0.30% for the remaining life of the fund based on the investor's total commitments.
Open- or Closed-End: Closed-End (Feeder fund)
Investor Restrictions: Accredited investors and qualified clients
Filing Date: Nov. 19, 2015
Effective Date: Pending
   
Fund Name: GuideMark Alternative Lending Income Fund
Adviser: AssetMark Inc.
Sub-Adviser(s): Not specified
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: None specified
Filing Date: Nov. 13, 2015
Effective Date: Pending
   
Fund Name: Elkhorn Dorsey Wright Tactical Equity Income Fund
Adviser: Elkhorn Investments LLC
Sub-Adviser(s): Dorsey Wright and Associates Inc.
Fees: Not specified
Open- or Closed-End: Closed-End
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: Oct. 30, 2015
Effective Date: Pending
   
Fund Name: Castlemaine Emerging Markets Opportunities Fund
Adviser: Castlemaine LLC
Sub-Adviser(s): None
Fees: 1.24% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1 million minimum initial investment
Filing Date: Oct. 13, 2015
Effective Date: Pending
   
Fund Name: Castlemaine Event Driven Fund
Adviser: Castlemaine LLC
Sub-Adviser(s): None
Fees: 1.24% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1 million minimum initial investment
Filing Date: Oct. 13, 2015
Effective Date: Pending
   
Fund Name: Castlemaine Long/Short Fund
Adviser: Castlemaine LLC
Sub-Adviser(s): None
Fees: 1.24% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1 million minimum initial investment
Filing Date: Oct. 13, 2015
Effective Date: Pending
   
Fund Name: Castlemaine Market Neutral Fund
Adviser: Castlemaine LLC
Sub-Adviser(s): None
Fees: 1.24% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1 million minimum initial investment
Filing Date: Oct. 13, 2015
Effective Date: Pending
   
Fund Name: Castlemaine Multi-Strategy Fund
Adviser: Castlemaine LLC
Sub-Adviser(s): None
Fees: 1.24% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1 million minimum initial investment
Filing Date: Oct. 13, 2015
Effective Date: Pending
   
Fund Name: Catalyst Hedged Commodity Strategy Fund
Adviser: Catalyst Capital Advisors LLC
Sub-Adviser(s): None
Fees: 1.75% management fee
Open- or Closed-End: Open-end (mutual fund)
Investor Restrictions: $2,500 minimum initial investment, $100 minimum subsequent investment
Filing Date: May 5, 2015
Effective Date: Aug. 14, 2015
   
Fund Name: Catalyst IPOx Allocation Fund
Adviser: Catalyst Capital Advisors LLC
Sub-Adviser(s): None
Fees: 1.50% management fee
Open- or Closed-End: Open-end (mutual fund)
Investor Restrictions: $2,500 minimum initial investment, $100 minimum subsequent investment
Filing Date: May 5, 2015
Effective Date: Aug. 14, 2015
   
Fund Name: Palmer Square Strategic Finance Fund
Adviser: Palmer Square Capital Management LLC
Sub-Adviser(s): None
Fees: Not Specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $5 million minimum initial investment; $2,500 minimum subsequent investment
Filing Date: Sept. 21, 2015
Effective Date: Pending
   
Fund Name: Total Income+ Mortgage Fund
Adviser: Bluerock Fund Advisor LLC
Sub-Adviser(s): None
Fees: 1.5% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $1 million minimum initial investment (Class I); $2,500 minimum initial investment for regular accounts; $1,000 minimum initial investment for retirement plan accounts (Class A and C)
Filing Date: Sept. 17, 2015
Effective Date: Pending
   
Fund Name: Cushing MLP Infrastructure Fund II
Adviser: Cushing Asset Management LP
Sub-Adviser(s): None
Fees: 1% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase; Feeder fund)
Investor Restrictions: Accredited investors
Filing Date: Sept. 1, 2015
Effective Date: Pending
   
Fund Name: CPG York Event Driven Strategies
Adviser: Central Park Advisers LLC
Sub-Adviser(s): None
Fees: 0.65% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Accredited investors
Filing Date: Aug. 10, 2015
Effective Date: Pending
   
Fund Name: Series Portfolio Trust
Adviser: Weiss Multi-Strategy Advisers LLC
Sub-Adviser(s): None
Fees: 1.6% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $250,000 minimum initial investment (Class I); $2 million minimum initial investment (Class K)
Filing Date: Aug. 7, 2015
Effective Date: Pending
   
Fund Name: Ivy Apollo Strategic Income Fund
Adviser: Ivy Investment Management Company
Sub-Adviser(s): Apollo Credit Management LLC
Fees: 0.68% of net assets up to $1 billion; 0.62% of net assets over $1 billion and up to $2 billion; 0.58% of net assets over $2 billion and up to $3 billion; and 0.57% of net assets over $3 billion.
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $750 minimum initial investment.
Filing Date: Sept. 30, 2015
Effective Date: Oct. 1, 2015
   
Fund Name: Ivy Apollo Multi-Asset Income Fund
Adviser: Ivy Investment Management Company
Sub-Adviser(s): Apollo Credit Management LLC
Fees: 0.70% of net assets up to $1 billion; 0.65% of net assets over $1 billion and up to $2 billion; 0.61% of net assets over $2 billion and up to $3 billion; and 0.58% of net assets over $3 billion.
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $750 minimum initial investment.
Filing Date: Sept. 30, 2015
Effective Date: Oct. 1, 2015
   
Fund Name: TCW/Carlyle Liquid Tactical Fund
Adviser: TCW Investment Management Company
Sub-Adviser(s): Carlyle Liquid Market Solutions
Fees: Not Specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: None
Filing Date: July 16, 2015
Effective Date: Sept. 29, 2015
   
Fund Name: TCW/Carlyle Trend Following Fund
Adviser: TCW Investment Management Company
Sub-Adviser(s): Carlyle Liquid Market Solutions
Fees: Not Specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: None
Filing Date: July 16, 2015
Effective Date: Sept. 29, 2015
   
Fund Name: TCW/Carlyle Absolute Return Fund
Adviser: TCW Investment Management Company
Sub-Adviser(s): Carlyle Liquid Market Solutions
Fees: Not Specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: None
Filing Date: July 16, 2015
Effective Date: Sept. 29, 2015
   
Fund Name: Guggenheim Global Equity Income Fund
Adviser: Guggenheim Funds Investment Advisors LLC
Sub-Adviser(s): Guggenheim Partners Investment Management LLC
Fees: Not specified
Open- or Closed-End: Closed-End (Periodic repurchase)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: July 2, 2015
Effective Date: Pending
   
Fund Name: Cushing MLP Infrastructure Master Fund
Adviser: Cushing Asset Management LP
Sub-Adviser(s): None
Fees: 1% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Accredited investors
Filing Date: June 30, 2015
Effective Date: Pending
   
Fund Name: RiverNorth Marketplace Lending Corp.
Adviser: RiverNorth Capital Management LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: None specified
Filing Date: June 11, 2015
Effective Date: Pending
   
Fund Name: Ramius Archview Event Credit Feeder Fund
Adviser: Ramius Advisors LLC
Sub-Adviser(s): Archview Investment Group LP
Fees: 1.5% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $25,000 minimum initial investment; $10,000 minimum subsequent additional investment. Qualified investors only.
Filing Date: June 5, 2015
Effective Date: Pending
   
Fund Name: RiverNorth Multi-Strategy Arbitrage Fund
Adviser: RiverNorth Capital Management LLC (Closed-End Fund Arbitrage Strategy)
Sub-Adviser(s): Vivaldi Asset Management LLC (Merger Arbitrage Strategy) and Linden Advisors LP (Convertible/Credit Strategy)
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: None specified
Filing Date: May 28, 2015
Effective Date: Pending
   
Fund Name: Multi-Strategy Alternative Income Fund
Adviser: Lucia Capital Management
Sub-Adviser(s): None
Fees: 1.5% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $2,500 minimum initial investment (Class A, L and C); $1 million minimum (Class I)
Filing Date: May 19, 2015
Effective Date: Pending
   
Fund Name: Guggenheim Energy & Income Fund
Adviser: Guggenheim Funds Investment Advisors LLC
Sub-Adviser(s): Guggenheim Partners Investment Management LLC
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Minimum investment of 25 common shares
Filing Date: May 15, 2015
Effective Date: Pending
   
Fund Name: Oppenheimer Global Multi-Asset Growth Fund
Adviser: OFI Global Asset Management Inc.
Sub-Adviser(s): OppenheimerFunds Inc. (Sub-sub-advisors: Cornerstone Real Estate Advisers LLC and OFI SteelPath Inc.)
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1,000 minimum initial investment for most share classes; $5 million minimum per account of Class I shares
Filing Date: May 1, 2015
Effective Date: Pending
   
Fund Name: Hays U.S. Opportunity Fund
Adviser: Hays Capital Management LLC
Sub-Adviser(s): None
Fees: 0.85% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $10,000 minimum (Class A, C, N shares), $1,000 for retirement accounts; $100,000 minimum (Class I shares), $5,000 for retirement accounts.
Filing Date: April 24, 2015
Effective Date: Pending
   
Fund Name: Hays Tactical Multi-Asset Fund
Adviser: Hays Capital Management LLC
Sub-Adviser(s): None
Fees: 0.85% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $10,000 minimum (Class A, C, N shares), $1,000 for retirement accounts; $100,000 minimum (Class I shares), $5,000 for retirement accounts.
Filing Date: April 24, 2015
Effective Date: Pending
   
Fund Name: Fintan Alternative Fixed Income Master Fund
Adviser: Fintan Partners LLC
Sub-Adviser(s): None
Fees: 0.75% Management Fee
Open- or Closed-End: Closed-End (Non-listed)
Investor Restrictions: None
Filing Date: April 14, 2015
Effective Date: Pending
   
Fund Name: Fintan Alternative Fixed Income Advisory Fund
Adviser: Fintan Partners LLC
Sub-Adviser(s): None
Fees: 0.75% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase; non-listed)
Investor Restrictions: Accredited investor; $25,000 minimum initial investment, $10,000 minimum subsequent investment
Filing Date: April 14, 2015
Effective Date: Pending
   
Fund Name: Fintan Alternative Fixed Income Institutional Fund
Adviser: Fintan Partners LLC
Sub-Adviser(s): None
Fees: 0.75% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase; non-listed)
Investor Restrictions: Accredited investor; $25,000 minimum initial investment, $10,000 minimum subsequent investment
Filing Date: April 14, 2015
Effective Date: Pending
   
Fund Name: TSC/Richard Bernstein Global Thematic Micro-Cap Fund
Adviser: Radiance Asset Management LLC
Sub-Adviser(s): Richard Bernstein Advisors LLC
Fees: Not specified
Open- or Closed-End: Closed-End
Investor Restrictions: 500 shares of common stock; $25,000 Minimum
Filing Date: April 3, 2015
Effective Date: Pending
   
Fund Name: Triloma EIG Global Energy Term Fund I
Adviser: Triloma Energy Advisors LLC
Sub-Adviser(s): EIG Credit Management Company LLC
Fees: 2% Management Fee; 20% Performance Fee
Open- or Closed-End: Closed-End
Investor Restrictions: $5,000 Minimum
Filing Date: March 30, 2015
Effective Date: Pending
   
Fund Name: Archstone Alternative Solutions Fund
Adviser: Archstone Advisory Management LLC
Sub-Adviser(s): None
Fees: 1.2% up to (and including) $1B; 1.1% over $1B and up to (and including) $5B; 1.0% over $5B.
Open- or Closed-End: Closed-End (Possible quarterly repurchase of up to 20%)
Investor Restrictions: Accredited investor
Filing Date: March 19, 2015
Effective Date: Pending
   
Fund Name: Tekla World Healthcare Fund
Adviser: Tekla Capital Management LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Repurchase at least annually)
Investor Restrictions: None
Filing Date: March 10, 2015
Effective Date: Pending
   
Fund Name: BNY Mellon Absolute Insight Funds
Adviser: The Dreyfus Corporation
Sub-Adviser(s): Pareto Investment Management Ltd.
Fees: Not Specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: None
Filing Date: March 3, 2015
Effective Date: Pending
   
Fund Name: TCW/Gargoyle Hedged Value Fund
Adviser: TCW Investment Management Company
Sub-Adviser(s): Gargoyle Investment Advisor LLC
Fees: 0.9% Annually
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: None
Filing Date: March 10, 2015
Effective Date: Pending
   
Fund Name: The Gabelli Go Anywhere Trust
Adviser: Gabelli Funds LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Total return fund)
Investor Restrictions: $5,000 Minimum
Filing Date: March 3, 2015
Effective Date: Pending
   
Fund Name: Vanguard Alternative Strategies Fund
Adviser: The Vanguard Group Inc.
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: Institutional Investors; $250,000 Minimum
Filing Date: Feb. 27, 2015
Effective Date: Pending
   
Fund Name: Context Fundamental Value Long/Short Fund
Adviser: Context Advisers III LLC
Sub-Adviser(s): Omega Advisors Inc.
Fees: 2% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase of 5% of outstanding shares)
Investor Restrictions: Qualified clients; $25,000 Minimum
Filing Date: Feb. 17, 2015
Effective Date: Pending
   
Fund Name: Terra Income Fund 6
Adviser: Terra Income Advisors
Sub-Adviser(s): None
Fees: 3% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Net worth of at least $70,000 and annual gross income of at least $70,000, or a net worth of at least $250,000. $5,000 Minimum.
Filing Date: March 3, 2015
Effective Date: Pending
   
Fund Name: CNL Energy Total Return Fund
Adviser: CNL Energy Fund Advisors LLC
Sub-Adviser(s): None
Fees: Not Specified
Open- or Closed-End: Closed-End
Investor Restrictions: $5,000 Minimum ($4,000 for qualified plans)
Filing Date: Feb. 27, 2015
Effective Date: Pending
   
Fund Name: First Trust Securities Convertible Income Fund
Adviser: First Trust Advisors
Sub-Adviser(s): SSI Investment Management
Fees: Not specified
Open- or Closed-End: Closed-End
Investor Restrictions: None specified
Filing Date: Jan. 5, 2015
Effective Date: Pending

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