Accredited Investor Survey After Newsletter - Capital Allocators with Ted Seides

Are you an accredited investor or a qualified purchaser?

Full Name*

Email*

Organization

Role

Qualified Purchaser Requirements (check one)

I qualify as a qualified purchaser ($5MM or more in investment assets).

I do not qualify as a qualified purchaser.

Accredited Investor Requirements (check all that apply)

A natural person with an individual net worth, or joint net worth with his or her spouse, at the time of purchase in excess of $1 million (excluding the value of the individual’s primary residence), or a natural person with an individual income in excess of $200,000 (in excess of $300,000 with his or her spouse) in each of the two (2) most recent years and who has a reasonable expectation of having these income levels in the current year.

Any private business development company as defined in Section 202(a)(22) of the Advisers Act;

Any organization described in section 501(c)(3) of the Internal Revenue Code, corporation, Massachusetts or similar business trust, or partnership, not formed for the specific purpose of acquiring the securities offered, with total assets in excess of $5 million;

Any director, executive officer, or general partner of the issuer of the securities being offered or sold, or any director, executive officer, or general partner of a general partner of that issuer;

Any trust, with total assets in excess of $5 million, not formed for the specific purpose of acquiring the securities offered, whose purchase is directed by a sophisticated person as described in the Securities Act;

Any entity in which all of the equity owners are Accredited Investors;

Any holders in good standing of the Series 7, Series 65, and Series 82 licenses;

With respect to investments in a private fund, any natural persons who are “knowledgeable employees” of the fund;

Any limited liability companies with $5 million in assets may be accredited investors, and add SEC- and state-registered investment advisers, exempt reporting advisers, and rural business investment companies (RBICs) to the list of entities that may qualify;

Any entity, including Indian tribes, governmental bodies, funds, and entities organized under the laws of foreign countries, that own “investments,” as defined in Rule 2a51-1(b) under the Investment Company Act, in excess of $5 million and that was not formed for the specific purpose of investing in the securities offered;

Any “family office” with at least $5 million in assets under management and their “family clients,” as each term is defined under the Advisers Act; and

The “spousal equivalent” of any accredited investor definition.

I do not qualify as an accredited investor

Based on the above scenarios, I do not qualify as an accredited investor.

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