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Nothing in these Materials constitutes, is intended to constitute, shall be treated as constituting or shall be deemed to constitute, an offer of any securities to the public. Performance results are net of all expenses, management fees and incentive allocation. This fund is a private partnership for qualified investors. Securities offered through Spearhead, LLC, Member FINRA/SIPC.
Hedge funds: (1) Often engage in leveraging and other speculative investment practices that may increase the risk of investment loss; (2) Can be highly illiquid; (3) Are not required to provide periodic pricing or valuation information to investors; (4) May involve complex tax structures and delays in distributing important tax information; (5) Are not subject to the same regulatory requirements as mutual funds; and (6) Often charge high fees. No representation or warranty, expressed or implied, is made as to the fairness, accuracy, completeness or correctness of the information and opinions contained herein, and Spearhead, LLC has no obligation to update or correct any information herein.
All information included in these Materials has been provided by the participating investment managers, and Spearhead, LLC has merely compiled them in these Materials for your convenience. Under all applicable laws, the information contained in these Materials is not intended to and does not constitute, and no person shall rely upon any such information as constituting “investment advice” and Spearhead, LLC shall not be considered a “fiduciary” of any person by virtue of providing these materials (or any other activities in connection therewith). Any information provided herein shall not form the primary basis of any investment decision. It is the user’s responsibility to independently confirm the information contained in these Materials and obtain any other information deemed relevant to any investment decision. The funds and securities that are mentioned in these Materials have not been registered or qualified with, nor approved or disapproved by, the U.S. Securities and Exchange Commission or any other regulatory authority, nor has any regulatory authority passed upon the accuracy or adequacy of any information that has been or will be provided. The information in these Materials is intended solely for: (i) “Accredited Investors” within the meaning of Rule 501 of Regulation D under the U.S. Securities Act of 1933, as amended; and (ii) either “Investment Professionals” under Article 14 of the Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001 (the “CIS Order”) or Article 19 of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2001, as amended (the “Financial Promotion Order”) or persons qualifying as a “high net worth person” under Article 22 of the CIS Order or Article 49 of the Financial Promotion Order.
Canada: The securities mentioned in this material are available only in accordance with applicable securities laws and may not be eligible for sale in all jurisdictions.
Japan: This report is being distributed in Japan to institutional investors only.
Singapore: This document is being distributed in Singapore only to those who fall within the description of persons in Regulation 49(5) of the Securities and Futures (Licensing and Conduct Business) Regulations 2002. Investors should note that this material is intended for professional investors only.
United States: Distribution of this document in the United States or to US persons is intended solely for major institutional investors as defined in Rule 15a-6(a)(2) under the Securities act of 1934. All US persons that receive this document by their acceptance thereof represent and agree that they are a major institutional investor and understand the risks involved in hedge funds.
United Kingdom: The arrangements described in these Materials may or may not be categorized as unregulated collective investment schemes, as defined in the Financial Services and Markets Act 2000 (the “FSMA”). Promotion of such collective investment schemes is restricted and such schemes cannot be marketed in the United Kingdom to the general public. Accordingly, these Materials may only be communicated or caused to be communicated to a person authorized to carry on a regulated activity under the FSMA (an “Authorized Person”) or to persons otherwise having professional experience in matters relating to investments (including in relation to participating in unregulated collective investment schemes) and qualifying as investment professionals under Article 19 of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2001, as amended or to persons qualifying as high net worth persons under Article 49 of that Order, or, if the person communicating these Materials (or causing it to be communicated) is an Authorized Person, to those persons otherwise having professional experience in matters relating to investments (including in relation to participating in unregulated collective investment schemes) and qualifying as investment professionals under Article 14 of the Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001,as amended, or to persons qualifying as high net worth persons under Article 22 of that Order. These Materials are not available to other categories of persons in the United Kingdom and no-one falling outside such categories is entitled to rely on, and they must not act on, any information in these Materials. The communication of these Materials to any person in the United Kingdom other than the categories stated above is unauthorized and may contravene the FSMA. Nothing in these Materials constitutes, is intended to constitute, shall be treated as constituting or shall be deemed to constitute, an offer of any securities to the public (as defined in the Public Offers of Securities Regulations 1995, as amended) in the United Kingdom and accordingly no prospectus has been filed in the United Kingdom in the name of Spearhead, LLC thereof.
Switzerland: The hedge funds referred to in the present directory have not been authorized by the Swiss Federal Banking Commission as foreign investment funds pursuant to Article 45 of the Swiss Mutual Act of March 18, 1994. Accordingly, interests in the hedge funds may not be offered or distributed on a professional basis in or from Switzerland. Interests in the hedge funds may only be offered in Switzerland to a limited number of investors without any public offering.
REGULATORY DISCLOSURE
Registered representatives may receive commissions from Spearhead, LLC for introducing hedge fund alternatives to qualified investors.
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