Casedy Consulting provides COO/CFO outsourcing and operational due diligence consulting to the alternative investment industry.

1. COO/CFO Outsourcing and Operational Due Diligence Consulting
John A. Rogers, CPA, Founding Partner > Phone: (914) 533-0306 > email: jrogers@casedyconsulting.com

2. Table of Contents
• Casedy Consulting Overview page 3
• Founding Partner Biography page 4
• Summary of Consulting Services page 6
• Outsourcing: Start Up Phase
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page 7
• Outsourcing: Operations page 8
• Outsourcing: Marketing and Investor Relations page 10
• Outsourcing: Compliance page 11
• Outsourcing: Management Company Functions page 12
• Outsourcing: Real Estate page 13
• Special Services/Projects page 14
• Operational Due Diligence
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page 15
• Contact Information page 16
COO/CFO Outsourcing and Operational Due Diligence Consulting

3. Casedy Consulting Overview
Casedy Consulting, L.L.C. (“Casedy”) provides COO/CFO outsourcing and operational
due diligence consulting services to the alternative investment industry.
d dili lti i t th lt ti i t ti d t
• Investment management industry veteran with over 18 years
experience, including 8 years as a hedge fund COO/CFO/CCO
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• Seasoned professional who has successfully formed and
managed all operations of two +$750mm hedge fund firms
• Experienced and knowledgeable in all facets of the operations of
hedge funds and investment advisors
• Provides consulting services to hedge funds at every stage of their
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business cycle
• Also provides operational due diligence consulting services to
investors in hedge funds who do not have the resident experience
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to properly evaluate operational risk
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4. Founding Partner Biography
John A. Rogers, CPA, Founding Partner
• COO/CFO of Obrem Capital Management, LLC, 2007-2009
― Successfully implemented Obrem’s operations including
accounting, middle and back office, trading, investor relations,
compliance,
compliance IT infrastructure and general office management
― Oversaw and assisted in initial capital raise of approximately
$800mm
• Principal - CFO/CCO of Stadia Capital, LLC 2002 2007
Capital LLC, 2002-2007
― Successfully formed and managed Stadia’s accounting, middle
and back office, compliance and IT infrastructure
― Registered firm as an investment advisor with the SEC
― Managed a team of five professionals
• Senior Vice President – Weiss, Peck & Greer 2000-2002
― Responsible for the administration of 10 domestic and 3 offshore
hedge funds with total capital under management in excess of $1
billion.
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5. Founding Partner Biography (continued)
John A. Rogers, CPA, Founding Partner
• Senior Manager – Asset Management Practice - Ernst & Young,
1997-2000
• Assistant Vice President – Internal Audit - Alliance Capital
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Management, 1991-1997
• Financial Auditor – Equitable Life – 1989-1991
• Financial Auditor – Long Island Savings Bank, 1988-1989
• B.S. in Business Economics/Accounting from SUNY- College at
Oneonta (1988); Certified Public Accountant
• Full Founding Partner CV available upon request
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6. Summary of Consulting Services
Operational Due Special Services/
Diligence Consulting Projects
P j t
Start-up phase • • Compliance
Operations and Reporting • COO/CFO Outsourcing • M
Management Company
tC
Marketing and Investor Relations • • Real Estate
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7. Outsourcing: Start Up Phase
Casedy Consulting provides operational outsourcing to companies in the start up
phase i l di
h including:
• Review of all fund, management company and general partner
organizational documents including assistance with preparing
Form ADV
• Assistance in selection of 3rd party service providers including
attorneys, accountants, administrators and prime brokers
• Evaluation and selection of IT Integrator and telecommunications
vendor as well as advise on hardware and software selection
• Negotiation with all executing brokers, ISDA counterparties,
independent research providers and soft dollar vendors
• Oversight and assistance with fund raising efforts
• Meeting with prospective and existing investors on all pre/post
investment operational due diligence reviews
• Advise on office space acquisition and subsequent build out
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8. Outsourcing: Operations
The Firm provides evaluation and implementation of all operational policies and
procedures i l di
d including:
• Selection and implementation of all internal systems
― Portfolio management
― General ledger
― Partnership accounting
― Front-end trading
― Risk management
― Investor relations
• Oversight of all daily, weekly, monthly and annual processes
including reconciliations, NAV calculations, year-end audit and K1
tax returns
• Oversee development of portfolio attribution and exposure
reporting system for daily and monthly internal/external distribution
• Selection and implementation of risk management system as well
as development of all reporting requirements
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9. Outsourcing: Operations (continued)
The Firm also oversees and serves as a liaison with:
• Accountants/Auditors
― Interim and final annual audit procedures
― Preparation of p
p partner allocations for K1 tax returns
― Review of investor K1 tax returns
― Management company, GP and partner tax returns
• Fund administrator for daily, monthly and annual reporting
• Legal counsel in order to manage all regulatory filings
• Hiring training and oversight of operational s pport staff
Hiring, o ersight support
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10. Outsourcing: Marketing and Investor Relations
Casedy acts as “in-house” marketing and investor relations support assisting with:
• Investor requests
• Ongoing investor meetings to discuss portfolio and
operational due diligence
• Preparation of due diligence questionnaire
• Transparency reporting to investors
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11. Outsourcing: Compliance
Casedy will provide oversight during SEC registration and ongoing compliance assisting
with:
ith
• Preparation of all internal policies and procedures in
accordance with the Investment Advisers Act.
• Preparation of the firm’s compliance manual and
firm s
code of ethics
• Evaluation and selection of third party compliance
vendors
• Periodic self compliance examinations
• Liaise with legal, compliance, and management
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during SEC audit
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12. Outsourcing: Management Company Functions
Casedy has deep experience providing critical business advisory services and will:
• Oversee processing of management company and general
partner accounting and tax related information
• Manage the selection and implementation of employee
benefit plans including:
― Medical and Dental
― 401(k)
― FSA/HSA
― Deferred compensation plans
• Handle budgeting and variance analysis
• Manage accounts payable
• Oversee the filing of quarterly and annual tax reports
• Manage payroll
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13. Outsourcing: Real Estate
Casedy can evaluate and select appropriate office space as well as manage the associated
vendors b
d by:
• Assisting with negotiation of lease
• Acting as liaison with:
― Architect
― General contractor
― Building management
― Broker
• Working directly with IT and telecommunications providers to
provide IT system set-up and server room build-out
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14. Special Services/Projects
Casedy also provides other special business operations services including, but not limited to:
• Advise on fund restructuring
• Crisis management advisory services
• SEC Registration
• Assistance with activist investment situations and liaise with 3rd
party vendors
― Attorney
― Public relations firm
― Proxy solicitor
• Establishment of new products
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15. Operational Due Diligence
The firm believes that a sound operational infrastructure is crucial to an investment firm’s
success and provides:
d id
• Operational due diligence consulting services to
fund of funds, family office and high net worth investors
in hedge funds
• Intensive periodic due diligence reviews which are
required to determine a fund’s operational efficiency
and effectiveness
• In-depth experience with hedge fund operations,
supplying the investor with insights and results that would
not otherwise be obtained
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16. Contact Information
For more information about Casedy Consulting and our services, please contact us:
Casedy Consulting, L.L.C.
John A. Rogers, CPA, Founding Partner
Telephone: 914-533-0306
Mobile: 917-716-0394
Email: jrogers@casedyconsulting.com
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