PHOENIX AMERICAN FINANCIAL SERVICES, INC

For more than forty years, Phoenix American has provided transfer agent and back office services so securities sponsors can focus on their core business. Our innovative culture has reinvented the transfer agent and investor services professions with state-of-the-art technology and dedicated customer service. Phoenix transfer agent services allow alternative investment funds of all sizes to achieve a higher level of efficiency and maximize shareholder value.

• STAR-XMS. The most advanced transfer agent system in alternative investments • Web-based for easy mobile accessibility. Dynamic intuitive functionality. Providing scalable and accurate processing.

• New Business Processing • Transfers • Blue Sky Tracking • Commissions • Distributions

• Daily NAV processing

• K-1/1099 Processing

• Robust Sales and Transaction Reporting

• Fiduciary Reporting

• Time-Saving Searchability

• Printing and Fulfillment • Customized Investor/Rep Web Access • Phone Team Support • AIP Platform Integrated

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

PHOENIX AMERICAN FINANCIAL SERVICES, INC

In today’s regulatory environment, accuracy and reliability in accounting and tax preparation is more important than ever. With over 40 years of experience, Phoenix American Financial Services can help your business manage accounting and tax filing quickly and painlessly. With state-of-the-art systems and unparalleled customer service, Phoenix American makes tax season stress free.

• Fund Accounting

• Cost Basis Accounting

• Federal, State, Local and Foreign Tax Preparation -Income Tax -Sales/Use Tax -Property Tax

• SOC 1, Type II Compliant •

FINRA and OFAC Searches in Compliance with the USA Patriot Act

• K-1 Processing

• SEC Compliance – Forms 10-Q, 10-K, and 8-K Preparation

• 1099 Processing

• EDGAR Filing Services

• Tax Form 1065 e-Filing

• Tax Compliance, Audit Support

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

PHOENIX AMERICAN FINANCIAL SERVICES, INC.

Phoenix American’s customized Online Account Access provides up-to-date and accurate investment and historical information to your investors and advisors in a user-friendly environment. Integrated with the STAR-XMS system, Online Account Access delivers data that is accurate, timely and available to users by class-specific password protected login. Custom designed for the style of your website, Online Account Access enhances the professionalism of your web presence. It provides fast and easy access to account status, history and profile information and can be leveraged for client communication, marketing, sales support and compliance.

• Account Status, Values and History

• Customized for Your Website

• Communications/Notifications for Investors and Advisors

• Full Security

• Tax Documents • Address and Profile Updates • Sales Kit Fulfillment • Proxies

• Affordable • Reduces investor phone inquiries and requests • Separate levels of Access for investors and reps • Mobile Accessibility

• Marketing Campaigns with Metrics and Reporting

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

PHOENIX AMERICAN FINANCIAL SERVICES, INC.

Specifically designed for the financial services industry, Phoenix American’s high volume Printing and Fulfillment services produce high quality checks, statements, marketing materials, tax documents, proxies, prospectus and client communications. Phoenix American’s 40 year history servicing asset management firms, investment funds and other financial services companies gives us insight into your need for efficiency and professionalism in your printed communications. All printing is performed securely at Phoenix’s American’s facility and designed for accuracy, tracking and full compliance.

• State-of-the-Art High Speed Printing Equipment

• 150,000 Pieces Per Day Capacity

• Full Security to Protect Sensitive Account Information

• Customized Web Access, Electronic Investor Kit Ordering

• Customized Full-Color Statement Templates

• Package Delivery and Tracking

• Security Envelopes, Bar Code Tracking, Audit Reporting

• Secure Facility

• National Partnerships with Neopost USA and Federal Express • Tracking and History Reporting

• SOC 1, Type II Compliant

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

PHOENIX AMERICAN FINANCIAL SERVICES, INC.

Leveraging the Potential of Your Investor Data

The STAR-XMS transfer agent system puts sophisticated business analytic capabilities at your fingertips. The insight you can gain from your investor and transaction data using STAR-XMS is limited only by your curiosity. With a simple point and click, build reports by rep or region, time frame or territory, product or asset. Get the exact view of your business that you need to make the decisions that make a difference.

• Over 500 standard reports offering a wide array of perspectives

• Track sales by any time period by broker/dealer, wholesaler, rep or territory

• Each report is customizable using dozens of data points

• Rank broker/dealers and advisers across all funds over any time frame by total sales or number of sales

• All reports available as PDF, HTML, Excel, Word or CSV files • Deliver reports wirelessly via email on any mobile device • Save report parameters for recurrence

• Sort all or select territories by sales over multiple reporting periods • Rank wholesalers by transactional sales detail for multiple sales periods • Compare product profitability by fund type

• Schedule delivery to any distribution list • Access security by job class

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

PHOENIX AMERICAN FINANCIAL SERVICES, INC.

Secure reliable data flow among the individuals, systems and organizations that drive the alternative investment industry is at the heart of what Phoenix American provides clients. Our innovative solutions maximize efficiency and leverage investor data.

Custom Integration with Intermediaries

Customized Reporting

Custodians, broker dealers, clearing houses, and financial advisor reporting software.

Sales and marketing reports, administrative reports, and operational reports. All customized for output to Excel, PDF, etc.

CRM Integrations STAR-XMS system data can be integrated with any CRM system.

Document Management Services All documents are linked to their corresponding investor record in the STAR-XMS system. Secure document storage with real-time replication.

Customizable Feeds All STAR-XMS system data can be formatted for upload into any client system such as Yardi, MRI, Argus, etc.

Electronic Subscription System Interactive PDF subscription documents completed in an advisor’s office are submitted directly as a pending investment in the STAR-XMS system. Program controls minimize errors while electronic submission accelerates admit and commission dates.

Market Platform Accessibility Integrated with the Alternative Investment Products (AIP) platform and DST Vision.

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

Phoenix American FINANCIAL SERVICES, INC.

Fund Administration for 506(c) / General Solicitation Investment Funds

With the implementation of the JOBS Act and SEC Rule 506(c), new fund companies are seizing a new opportunity. And Phoenix American is ready to help with front-office and back-office outsourcing solutions tailored to the needs of funds engaged in general solicitation of investors. New services compliment the state-of-the-art systems and dedicated customer service Phoenix American clients have come to expect. ● Investor Prospect Call Center ● Printing and Fulfillment of Sales Materials ● Accreditation Services for Individuals and Institutions ● Investor Document Review and Follow Up ● New Business Processing ● Coordination with Advertising Entities ● Investor Updates via Mail or Customized Web Portal ● Transfer Agent Services featuring the STAR-XMS Transfer Agent System

Over 40 years of experience with every type of direct investment. Contact Michael Hawn at (303) 881-9091 or [email protected]

PHOENIX AMERICAN FINANCIAL SERVICES, INC.

Systems Security and Data Protection

Your transaction, client and prospect information is the lifeblood of your business. That is why your business information is secured by the most robust and reliable IT systems available. Our systems are protected by security protocols that address every possible threat. Our databases run on industry-leading Oracle relational database systems.

Encryption Physical Access Controls

All application access uses SSL encryption.

Electronic and procedural controls on access to sensitive locations like the Phoenix American Data Center.

IntrusionDetection

Network Access Controls

SystemRedundancy

Redundant authentication, authorization and accounting (AAA) servers; firewall and router-based lockdowns protect network addresses and ports.

End-to-end system redundancy throughout the network.

ServerAccessControls Strict enforcement of password and account procedures. Secure, encrypted command sessions. Server access governed by firewall rules.

Database Access Controls Application-level user, data and business function security checks.

Hardware deployed at each zone. Annual application security review.

Business Resumption Daily EMC replication to off-site SunGard backup in different geologic zone. Detailed disaster recovery plan.

Monitoring 24-hour SECNAP CloudJacket 360º Active Network Protection. Continuous monitoring by Symantec clustering software.

Auditing SOC 1, Type II Compliant.

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

The New Standard Transfer Agent System STAR-XMS was designed and built by Phoenix American for the alternative investment industry. Leading TA systems are reconfigurations of systems intended for publicly traded funds. They are neither geared for nor suited to the specific needs and unique problems of manually entered new subscriptions. STAR-XMS input controls ensure accurate new business entry free from many of the most frequent and most critical errors common to manual entry of subscriptions. Because of the simple intuitive design of STAR-XMS, new business personnel can be trained quickly and execute more efficiently with far fewer errors than is possible with other TA systems. During spikes in new business volume, new business staff can be ramped up to meet increased volume without sacrificing accuracy. STAR-XMS is a web-based system, familiar in feel to any user of the internet, with common sense steps and straightforward processes. Because STAR is web based, it can be accessed remotely using any internet capable Windows device with no limit to the number of devices that can be used.

Fund sponsors immediately appreciate the sophistication of STAR-XMS when compared to other transfer agent systems. The differences are clear: ● Accessibility - web-based mobile availability anywhere on desktop, laptop or tablet computer. Anywhere an internet connection is available. No device limit. ● Flexibility - configurable and customizable to meet a sponsor’s specific needs ● Compliance - automatic Blue Sky tracking with advance notification ● Visibility - simple fast access to advisor and investor contact information ● Reporting - superior on-screen reporting capabilities exportable to both PDF and Excel ● Premium Reporting - supercharged MARS reporting module available with seamless SalesForce integration ● Implementation - no pre-installed software or VPN connection necessary to access the system ● Easy of Use - minimal system training needed for new users ● Accuracy - automated investment validation and input controls minimize entry errors ● Architecture - flexible multi-tiered architecture for scalability and performance. STAR-XMS is written in fast versatile Java Script for greater integration potential with other operations systems. Most importantly, STAR-XMS is backed by responsive and knowledgeable customer service. While the system reflects our forty-two years of experience in alternative investments, nothing could replace the ability of a Phoenix American client to consult their account manager and receive prompt attention that addresses concerns effectively. At Phoenix American, we have no phone tree, no long hold times and we never outsource. At Phoenix, the client comes first.

Phoenix American FINANCIAL SERVICES, INC.

At Phoenix American, we’ve designed and built some of the best systems in alternative investments. Our focus is on supporting investment fund operations with the most powerful technology backed by the highest level of customer service. But cutting edge technology is not enough if it doesn’t compliment the way you do business. Our systems need to support not only your fund data but your whole operation, integrating and interacting with your other systems to maximize your efficiency. That is why we build the STAR-XMS transfer agent system and the MARS sales reporting system, to integrate seamlessly not only with each other but with SalesForce, the most widely used CRM utility in the industry. Now both your investor and prospect data are available for the unparalleled report writing capability of MARS.

The MARS System from Phoenix American SalesFocus Solutions is the most powerful sales reporting utility in alternative investments. Any variety of customized ad hoc reporting can be run on data available to MARS. For clients of Phoenix American, MARS’ reporting power is available for their STAR-XMS investor data in a seamless integration. Now, for users of SalesForce, the unrivalled reporting power of MARS is available for their prospect database as well. MARS can also be used to port investor data in STAR-XMS into SaleForce for report writing on data that covers all stages of the sales cycle. This live bi-directional integration requires no implementation and there is no need to retrain SalesForce users. With no download delays, your sales office can run an unparalleled array of sales reports in MARS directly from SalesForce data to more effectively manage sales teams and maximize sales opportunities.

financial services, inc.

Proxy Processing Services

With proxy season coming up, doesn’t it make sense to have Phoenix American fulfill your proxy needs? Phoenix proxy services are all-inclusive end-to-end services all performed in our secure headquarters facility. Onsite proxy ballot printing and mailing Email proxy solicitation in conjunction with mailing Voting options ➢ Mail - return post card ➢ Phone – dedicated 800 investor number ➢ Online Voting – via your secure web portal

Follow up mail, email and telephone campaigns as needed Tabulation and Reporting Secure on-site production and data storage SOC-1 audited procedures

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

Phoenix American offers comprehensive accreditation services to certify that all your investors, whether individuals or institutions, are qualified to invest under the SEC’s new ‘Safe Harbor’ in rule 506(c). We provide a complete range of services that satisfy all your SEC Rule 501 accredited investor requirements.

Accrediation For All Entities ▪ Certification Letter with Attorney Signature ▪ Accredited Investor Database with Supporting Documentation

Income Verification Net Worth Verification OFAC Searches Anti-Money Laundering Procedures Due Diligence in Compliance with the USA Patriot Act Investor Administration, Transfer Agent and Fund Accounting Services also available PHOENIX AMERICAN FINANCIAL SERVICES, INC.

Call us today at (303) 881-9091 or visit us at www.pafsi.com.

phoenix american financial services, inc.

phoenix american financial services, inc.

Phoenix American provides complete shareholder administration and transfer agent services for both on-shore and off-shore funds. Phoenix American services simplify all aspects of managing investor funds in the new age of globalized capital.

✔ Title Transfers

✔ K-1 / 1099 Processing

✔ Fiduciary Reporting

✔ Distributions

✔ Tax Form 1065 e-filing

✔ FINRA / OFAC Searches

✔ 24/7 Call Center

✔ Federal, State, Local & Foreign Tax Preparation

✔ Blue Sky Tracking / ERISA Monitoring

✔ Cost Basis Accounting

✔ Escheatment

✔ Printing & Fulfillment

✔ Anti Money-Laundering / Know Your Customer

✔ Investor Web Portal ✔ Printing & Fulfillment ✔ Bank Account Management / Reconciliation

✔ Tax Compliance / Audit Support

✔ Document Management

United States Global Headquarters 2401 Kerner Blvd. San Rafael, CA 94901 (415) 223-1710

✔ Secure Off-Site Data Backup

London, England 13 Hawley Crescent London, UK NW1, 8NP 020-3858-0053

✔ SOC 1, Type II Compliant

Shannon, Ireland Shannon Business Park, Unit J, Block 1 Shannon, County Clare Ireland 011-353-61-475520

Hyderabad, India Office No. 2, Level 8 SLN Terminus Gachlbowll, Hyderabad India - 500032 040-2980-2782

phoenix american financial services, inc.

Phoenix American provides complete fund accounting and shareholder administration for both on-shore and off-shore funds. ✔ Portfolio valuations, financials, customized P&L and transparency reports

✔ Administration of all investor related activities

✔ Annual financial statements

✔ Payment of fund expenses and invoices

✔ General ledger

✔ Proxy services

✔ Calculation of net asset value and maintenance of all account records

✔ Regulatory filings

✔ Fee calculation and accruals

✔ Maintenance of constitutional documents and agreements of the fund ✔ Compliance controls

United States

London, England

Ireland

Global Headquarters 2401 Kerner Blvd. San Rafael, CA 94901 (866) 895-5050

13 Hawley Crescent London, UK NW1, 8NP 020-3858-0053

Shannon Business Park, Unit J, Block 1 Shannon, County Clare Ireland 011-353-61-475520

Hyderabad, India Office No. 2, Level 8 SLN Terminus Gachlbowll, Hyderabad India - 500032 040-2980-2782

Phoenix American Financial Services Brochure.pdf

Our innovative culture has reinvented the transfer agent and investor services. professions with state-of-the-art technology and dedicated customer service. Phoenix transfer agent services allow alternative investment funds of all sizes. to achieve a higher level of efficiency and maximize shareholder value. • STAR-XMS.

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