108 Tools to Grow your CTA Business by Attain Capital

It’s that time of year again for Alternative Investment folks to storm Chicago for two different conferences, NIBA and the CTA Expo, with emerging and seasoned managers alike speaking, networking, and cocktailing in between sessions on Liquid Alts, compliance, and history lessons from CME founder Leo Melamed.

A little over a year ago, we came out with a piece entitled, “So You want to be a CTA?” explaining the ins and outs, and steps needed before making a real go at it. But where’s the list of software, lawyers, accountants, and what not – that CTAs use and rely on to make their business go?

Without further ado – our list of 108 or so commodity trading advisor resources:

(Note, firms are listed alphabetically in each category, and we’ve used their own descriptions, edited to remove the ‘we’re the best’ language… and – we can’t take full credit for aggregating all of these, The CTA Expo service provider directory gave us a great start).

Kick Ass consultant, broker, marketer, lead source, pool operator, AUM Grower

Attain Capital Management – our official title is a registered Commodity Brokerage firm, but if you know anything about Attain, we do so much more than that. Looking for the right CTA strategy? We’ll help to match you with the strategy you’re looking for.  Want educational materials on the basics of the industry? We have a complete educational course. Want day to day analysis of what happening on in the world of Alts? Check out our Blog.  Want a portfolio builder that allows you to experiment with different CTAs and allocation levels?  Register on our website. Looking for the right FCM? We’ll talk you through details.  Need marketing help for your CTA program? We do pitch books.  Want thousands of eyeballs on your latest whitepaper?  We know just the place to post it.  And so on and so forth…

Attain Portfolio Advisors —  is the registered Commodity Pool Operator and fund management arm of Attain Capital. Recently, APA, as we call it – has launched a new family of single manager alternative investment funds, as well as a new website to go with it, www.Attainfunds.com.  The new family of Attain Funds contains five single manager funds across different alternative investment strategies: Trend Following, Short Term Trading, Relative Value, Agriculture, and Global Macro

The platform offers advisors and their investor’s ease of access to managers which have been pre-screened and vetted via Attain’s real-time due diligence process, with independent third party administration, separation of fund management and trading, and the full suite of Attain’s well regarded alternatives based research and education.

Compliance Help:

ACA Compliance Group – provides expert compliance consulting services to investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA additionally provides GIPS® verification services and a wide variety of compliance-related educational opportunities.

Alaric Compliance – specializes in serving the SEC, FINRA, and CFTC/NFA regulatory compliance needs of the investment management community. Our expertise, developed through experience with a broad range of industry participants (broker-dealers, investment advisors, hedge funds, registered investment companies), enables us to offer our clients significant expertise in regulatory compliance, and deep knowledge of compliance best practices.

Blue River Partners – Blue River Partners works with new and existing advisory Firms to assist them with applying for registration as a Commodity Pool Operator and/or Commodity Trading Advisor with the Commodity Futures Trading Commission and National Futures Association. Blue River can also assist Firms with making any applicable exemptive filings. In addition to registration and exemption services, Blue River also provides the ongoing services to Managers that trade in futures and commodities.

Compliance Supervisors, Inc – Not sure about an NFA rule? Not sure about a particular ethics rule? Compliance Supervisors not only provides compliance services to its clients, but also has a blog to answer common compliance questions one might have, as well as a detailed description and definition of someone regulatory questions.

Foreside – provides comprehensive and tailored compliance services to Commodity Pool Operators (CPOs) and other National Futures Association (NFA)-registered entities. Our services span a broad spectrum, including assisting our clients in meeting NFA and Commodity Futures Trading Commission (CFTC) regulatory standards to ensuring that they are apprised of industry best practices. Foreside employs seasoned compliance professionals and attorneys who have worked extensively with NFA-registered firms in the Alternative and Registered Investment Funds environment.

Futures Compliance – We provide a full range of regulatory compliance outsourcing services including, preparation of compliance policies and procedures manuals and disclosure documents, conducting compliance audits and NFA Self-Exam Checklists, review of existing compliance controls, promotional material reviews, setting record keep requirements and more.

Regulatory Compliance – Includes all essential compliance services for NFA members including a custom compliance manual, Disclosure Document, quarterly and annual filings, and compliance and ethics training. Plus, a Customized Compliance Manual, Examinations & Testing, as well as many others.

Titan Regulation – We build compliance environments, register firms with the SEC and/or the CFTC, and support CCOs in managing difficult regulatory challenges. We support clients during communications with regulators and provide ongoing daily compliance assistance. Our services broadly include Registration, a retainer program for on-going SEC support and Form PF program designed to assist clients with the immediate need to develop processes around this new filing requirement.

Turnkey Trading PartnersJames Bibbings & (Susan Osmanski) were recently recognized as the “North America’s Best Regulatory Advisory Firm,” by Hedgeweek Magazine, there’s no denying that if you have any questions as to how to become a CTA, to accounting, auditing, taxes, and even marketing and PR, Turnkey can help. With 25 years of experience, a senior Manager at Turnkey, and a Board Member at the CCC, Susan Omanski is fully capable and willing to aid in your process to being compliant.

Third Party Administrators:

Custom House – is an independent fund administrator with over two decades of experience in providing an extensive range of services, coupled with a very personal approach. We combine our technology, expertise and global infrastructure to deliver a customized package of services to our clients, including: Fund Administration, Investor Services, Portfolio & Managed Account Services, Shadow Accounting, Fund Formation, and Corporate Services

Futures Accounting & Compliance — Jas Chavla – provide custom accounting and compliance services by highly qualified professionals with extensive regulatory backgrounds and the sincere desire to contribute to their client’s success.

Michael J. Liccar – is both an alternative fund administrator and  a full-service public accounting firm which specializes exclusively in the securities and futures industry. We currently serve a wide variety of Hedge Funds, Commodity Pools, Private Investment Funds, Commodity Trading Advisors, Registered Investment Advisors, Broker-Dealers, Introducing Brokers and Futures Commission Merchants.

NAV – provides Independent Fund Administration services for Hedge Funds, Fund of Funds, Commodity Pools, Family Offices and Managed Accounts. Since our establishment, we have developed a reputation of providing excellent service to emerging managers as well as established fund managers.

Woodfield Fund Administration – Independent, third-party administration provides increased transparency, financial control and security for your fund’s operation. But the quality and effectiveness of fund administrators varies a great deal.

Audit & Tax:

Arthur Bell – is a managed futures, securities and hedge fund accounting firm that provides audit, tax, performance analysis, investor representative, and consulting services. We have been committed almost exclusively to the alternative investment industry since the firm’s inception in 1974. We also provide family office services to support the sophisticated needs of high net worth families and their related entities.

Fleming Financial Services – is a professional corporation formed in the state of Maryland in 1999.  The mission of FFS is to provide high quality comprehensive accounting, administration and advisory services to those engaged in the alternative investment management industry.  Given the background and expertise of the founder and its employees, FFS is able to provide specialized, value added service that is proactive, timely, accurate and efficiently performed.  We provide our services to a wide range of hedge funds, commodity funds, fund of funds, private equity funds and family offices.

Gemini Fund Services – While meeting the requirements of investors and regulatory bodies, the Gemini Companies offer operational services, which include transparency, uniform operational setup, risk/guideline management and liquidity enhancements.

KPMG – (Formerly Rosthstein Kass)  the U.S. audit, tax and advisory services firm, operates from 87 offices with more than 23,000 employees and partners throughout the U.S. Our purpose is to turn knowledge into value for the benefit of our clients, our people, and the capital markets.

Liccar – is both an alternative fund administrator and  a full-service public accounting firm which specializes exclusively in the securities and futures industry. We currently serve a wide variety of Hedge Funds, Commodity Pools, Private Investment Funds, Commodity Trading Advisors, Registered Investment Advisors, Broker-Dealers, Introducing Brokers and Futures Commission Merchants.

Michael Coglianese –  We bring over 25 years of financial industry experience and a team of former NFA and Big 4 auditors working on your behalf. Our expertise will help you keep costs down and minimize regulatory risk. By working together, you can concentrate on what you do best.

McGladrey – provides assurance, tax, and consulting services focused on the middle market. McGladrey has more than 6,700 professionals in 75 U.S. cities and access to more than 32,000 people in 100 countries through our membership in RSM International.

Swiss Financial Services – Swiss Financial Services provides asset managers and fund sponsors with comprehensive support in all aspects of fund administration, fund accounting, investor services and fund set-up, for diverse fund types.

Back Office:

First, check out this article (Back office: The backbone of a successful CTA) highlighting the business side of managing money.

CTA Services – CTA Services offers a full range of operational support to assist Commodity Trading Advisors in running their businesses, including: Monthly Performance, Fee calculators, Daily NAV reporting, Trade Allocators, Trade Error Resolution, Disclosure documents, and more…

DMaxx – has been providing Futures Trading and Accounting software and services to members of the Managed Futures industry since 1994. Our customers range from some of the largest to some of the smallest members. Our projects have included multiple top-to-bottom custom development of back, middle, and front office systems.

Managed Futures Network – Much like the name implies, this site offers what appears to be an endless amount of references for everything you need to know about the world of Managed

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