Michael R. Rocque

UBS Financial Services, Inc. is a registered investment advisor and wealth management firm headquartered in Weehawken, New Jersey. The firm is a wholly-owned subsidiary of UBS Americas Inc., ultimately held by UBS Group AG (SWX: UBSG; NYSE: UBS) in Switzerland. Founded in 1969, UBS Financial Services provides investment advisory services to individuals, banks, thrift institutions, mutual funds and other investment companies, pension and employee benefit plans, trusts, estates, charities, corporations and other business and government entities.

Clinton Group, Inc. is a registered investment advisor and hedge fund manager headquartered in New York City. The firm was founded by George E. Hall in 1991 and is a subsidiary of Madison Avenue Capital Holdings, Inc., which is owned by CGI Holdings, Inc. Clinton Group serves as investment manager primarily for an offshore private investment fund, as well as pools of collateralized debt obligations (CDOs), collateralized bond obligations (CBOs) and other structured products for which the the firm as collateral manager.

Part of Foreside Financial Group LLC, Coates Analytics Group LP is a company that provides web-based analytic tool software. The company is based in Chadds Ford, PA. Coates Analytics Group was acquired by PFPC Worldwide, Inc. on December 10, 2007. The company was founded by Frank J. Coates.

Gladstone Technology Partners LLC provides business intelligence platform. The company’s tools combine real industry experience, comprehensive data, and cutting-edge technology that allow financial advisors to measure, monitor, and maximize the value of their business. It serves the advisory firms, independent broker-dealers, money managers, and family offices. The company was founded by Daniel A. Kreuter and Paul T. Lally III in 2009 and is headquartered in Conshohoken, PA.

National CineMedia LLC provides advertising, promotions, business and entertainment event services. It specializes in cinema advertising, entertainment marketing, 3-D, online advertising, mobile marketing, online or mobile video, cinema, movies, Noovie, and movie theater advertising. The company was founded on March 29, 2005 and is headquartered in Centennial, CO.

Blackstone Alternative Alpha Fund is a non-diversified, closed-end management investment company. Its investment objective is to seek to earn long-term risk-adjusted returns. The company was founded on April 1, 2012 and is headquartered in New York, NY.

Goldman Sachs & Co. LLC (GS&Co.) is a securities brokerage firm headquartered in New York City. Founded in 1927, the firm is a subsidiary of The Goldman Sachs Group, Inc. (NYSE: GS). GS&Co. provides services to help hedge funds manage risk, monitor portfolios, maintain liquidity and build their businesses. They offer clients access to global equity and derivatives markets, as well as foreign exchange, commodities, European Lefts, rates and credit across the Americas, Europe and Asia. The firm proactively monitors capital markets, searching for pockets of liquidity and news that may require changes to those strategies. Integration with the Goldman Sachs network gives clients access to the firm's sectored block trades and their insights into price discovery. Their electronic trading program provides clients with tools to manage their trades from pre-trade analytics to post-trade analysis.

Terrapin Partners LLC (Terrapin Partners) is a private equity firm founded in 1998 by Nathan D. Leight and Jason G. Weiss. The firm is headquartered in New York.

Envision Capital Management, Inc. (Envision) is a privately held, SEC-registered investment advisor and money management firm headquartered in Palos Verdes Estates, California. The firm was founded in 1995 by Marilyn Cohen. Envision manages investment portfolios for individuals, privately held companies, and tax-deferred accounts.

PSF PLLC engages in the provision of diagnostic testing and treatment for asthma and allergy diseases. Its services include allergy skin and venom testing; food challenges; aspirin testing and desensitization; and antibiotic testing. The company was founded by Stephen J. Pollard and James L. Sublett in 1979 and is headquartered in Louisville, KY.

BlueHalo LLC engages in the provision of modeling and simulation supporting products and services. The firm offers directed energy targets and instrumentation, three-dimensional models and content, system development and integration, systems engineering and analysis, test and evaluation, and virtual training systems. The company was founded by William F. Waite and Steven S. Hill in 1989 and is headquartered in Huntsville, AL.

Delta Dental of Kansas, Inc. provides investment advisory services for insurance companies. The firm specializes in dental insurance, individual, family insurance, and group insurance. The company was founded in 1972 and is headquartered in Wichita, KS.

Tower Research Capital LLC is an independent trading and technology firm founded in 1998 by Mark Gorton. Headquartered in New York City with additional offices around the world, the firm manages assets of various clients.

Axonic Capital LLC is an independent, SEC-registered investment advisor and hedge fund manager headquartered in New York City. The firm was founded in 2010 by Clayton DeGiacinto. Axonic Capital provides investment advisory services directly to its clients which consist of the structured credit funds and structured credit accounts. Investors in the clients may include high net-worth individuals, pension plans and retirement accounts, endowments, foundations, trusts, estates or charitable organizations, other funds (including other Axonic-managed Funds), family offices, private banks, investment managers, 1940 Act funds, UCITS funds, and other individuals and corporate or business entities for which such investment is suitable.

Claar Advisors LLC is a hedge fund manager headquartered in New York City. The firm was founded in 2013 and is part of the Claar Family Spray Trust. They provide investment advisory services to US and non-US clients primarily consisting of private investment funds.

Axonic Alternative Income Fund is a non-diversified, closed-end management investment company. It was founded on September 26, 2018 and is headquartered in New York, NY.

Axonic Special Opportunities SBL Overseas Fund Ltd. is a pooled investment fund. The company is headquartered in George Town, Cayman Islands.

Team Rubicon Inc is a non-profit organization that mobilizes veterans to provide disaster response and humanitarian aid. The non-profit company is based in El Segundo, CA. The company has adapted their capabilities to respond to the COVID-19 pandemic by providing assistance such as food delivery, logistics support, and medical response. The organization focuses on three areas of impact: disaster services, rebuild services, and international services. Team Rubicon has over 160,000 volunteers and has launched over 1,100 operations domestically and internationally. The company was founded by Jake Wood and is currently led by CEO Art delaCruz.

Wheelhouse Analytics LLC provides data analytics, mobile sales solutions, and online education tools to financial advisors, asset managers and enterprises. Its solutions include distribution analysis, Wheelhouse ED, Admiral, and Builder. The company was founded by Todd A. Buck and Frank J. Coates in 2010 and is headquartered in West Chester, PA.

InCadence Strategic Solutions Corp. engages in the provision of technical support and consulting services to government organizations. It offers biometrics and identity management, information exchange systems, operational support, and tactical engineering services. The company was founded by Sandra Corbett in 2009 and is headquartered in Summit Point, WV.

CMPD Wealth Corp was founded by Andrew Paul Glaze, who has been the CEO since incorporation. The American company operates Wealth Stack, a SEC-registered financial platform that provides small business owners with a digital IRA solution, access to capital, and financial education. Wealth Stack aims to help diverse communities build long-term wealth through free videos, lessons taught by finance experts, and a trading platform. The founders of Wealth Stack are veterans from the Army and Marine Corps who share a commitment to service. The platform can be accessed conveniently through a mobile phone.

Shiro Capital provides investment services. The American company was founded by Andrew Paul Glaze.