Management

At A3 Financial Investments, we believe that alternative credit securities offer diversification and countless investment opportunities that can be targeted to specific return objectives and risk tolerance levels.* 

INCOME | COLLATERAL | STRUCTURE
Chris Aymond
Principal
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Christian Aymond has over 30 years of sales and marketing experience in the securities industry. Prior to co-founding A3 Financial Investments, Aymond was a Director at SBAM, an alternative credit hedge fund. Aymond also developed alternative strategy products in the 40 act space as a Co-founder and Principal of Absolute Investment Advisers, LLC. He has also held various marketing and sales management positions at Putnam Investments and Federated Investors, Inc. Aymond received a B.A. in Economics from Denison University.

Gregg Bell
Principal
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Gregory Bell co-founded A3 Financial Investments, after serving as the Chief Investment Officer of SBAM. He has invested in credit across a variety of niche industries since 2006, working at two multi-billion dollar credit & structured product hedge funds. As a structured credit analyst and trader at ArrowMark Partners, Bell was responsible for asset backed securities trading activity. He has participated in hundreds of structured credit securitizations throughout his career, acting in an investment banking capacity, as well as underwriter, structurer and trader. While at the Royal Bank of Scotland, he developed the reverse mortgage broker–dealer trading operations. Bell began his career at Silver Point Capital. Bell holds a B.S. from the Vanderbilt University School of Engineering.

Tony Bosch
Principal
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Anthony Bosch contributes more than 25 years of experience in the securities industry. Prior to co-founding A3 Financial Investments, Bosch was a member of SBAM. He was a Co-founder of Absolute Investment Advisers, LLC, an alternative investment advisory firm, in which he served as Principal and General Counsel. Previously, he served as General Counsel for Berger Financial Group and began his career with the Securities and Exchange Commission (SEC). Bosch received his Juris Doctorate from the University of Toledo and a degree in Chemistry from Miami University.

Matthew DuPree
Principal
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Matt DuPree has over 25 years of experience managing UNHW client investments and financial matters.  Before joining A3 Financial Investments, he was CFO of Southern Sky Capital, a long-short equity hedge fund.  Prior to that, he helped to develop and implement a novel portfolio for the venture arm of a single-family office.  He has been President of Hilltop Investment Advisors since 2011, and has previously managed client wealth at BNY Mellon and Wealth Management Consultants in Denver.  DuPree holds a B.A in Economics from Colorado College and an M.A. in Accounting from the University of Virginia.  He is a CPA licensed in the state of Colorado and is a CFA charterholder.

Kimberly Merriman
Adviser
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Kimberly Merriman co-founded A3 Financial Investments, after serving as a Director at SBAM. Previously, she was a Client Advisor at J.P. Morgan’s Private Bank Denver office and joined J.P. Morgan's Private Bank Chicago office in 2014, where she helped to develop the Private Bank’s Incident and Client Advisory team, which advises on legal, regulatory, and compliance guidelines and initiatives. Prior to J.P. Morgan, Merriman was a Financial Investment Professional within the Private Wealth Management Division of Goldman Sachs & Co. in the New York and Houston offices. She began her career in the Corporate Finance group of Skadden, Arps, Slate, Meagher & Flom LLP in New York. Merriman received a Juris Doctorate from New York Law School and a B.S. in Pre-Law with a minor in Sociology from The Pennsylvania State University.

Lars Soderberg
Principal
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Lars Soderberg has more than 37 years of experience in the alternative and traditional asset management industry. Before co-founding A3 Financial Investments, he was a Director at SBAM, an alternative credit hedge fund. Preceding this, Soderberg was with Aqueduct Capital developing their private equity effort. From 2004 through 2015, he served at Independence Capital Asset Partners (ICAP) as Chief Marketing Officer for their hedge fund business and developed some of the asset management industries first alternative liquid 40 Act hedge fund and UCITS products.  Soderberg was with Janus Capital Group from 1995 to 2004, where he was an Executive Vice President and Managing Director. In addition to his various responsibilities in managing the firm’s Institutional distribution and marketing, he served on the executive committee and was President of Janus’ broker dealer. Soderberg began his career with Fidelity Investments from 1981 to 1995, where he held a variety of retail and institutional sales roles in Boston and Los Angeles. Soderberg received a B.A. from Denison University.

*Diversification does not assure a profit or protect against loss in a declining market. 

© 2021 A3 FINANCIAL INVESTMENTS LLC

ABOUT    JOBS 

The A3 Alternative Income Fund is a continuously-offered, non-diversified, registered closed-end fund with limited liquidity. There is no guarantee the Fund will achieve its objective.  An investment in the Fund should only be made by investors who understand the risks involved, who are able to withstand the loss of the entire amount invested and who can bear the risks associated with the limited liquidity of Shares.  

Important Risks: Shares are an illiquid investment. You should generally not expect to be able to sell your Shares (other than through the repurchase process), regardless of how the Fund performs. Although the Fund is required to implement a Share repurchase program only a limited number of Shares will be eligible for repurchase by the Fund.

The prices provided by a pricing service or independent dealers or the fair value determinations made by the valuation committee of the Board of Trustees may be different from the prices used by other funds or from the prices at which securities are actually bought and sold. The prices of certain securities provided by pricing services may be subject to frequent and significant change, and will vary depending on the information that is available. Pricing services that value fixed-income securities generally utilize a range of market-based and security specific inputs and assumptions, as well as considerations about general market conditions, to establish a price. Investments may transact in a negotiated manner via appointment, auction, offer or bid wanted in competition. Transaction price and valuation may vary by position size, asset type, investment holding period constraints and modeled cash flow assumptions. The Fund’s ability to value its investments may also be impacted by technological issues and/or errors by pricing services or other third-party service providers. Pricing services generally value debt securities assuming orderly transactions of an institutional size, but such securities may be held or transactions may be conducted in such securities in smaller sizes. Investment size can influence price in negotiated markets and result in the same security having a wide range of prices. Standalone smaller investment positions often trade at lower prices than larger institutional positions. The Fund’s investments in certain fixed-income instruments purchased in smaller sized transactions may contribute positively to the Fund’s performance. As Fund asset levels increase, similar smaller sized transactions, if any, may not have the same relative impact on the Fund’s performance and are not anticipated to have the same relative impact on the Fund’s future performance.

 

An investment in the Fund is speculative, involves substantial risks, including the risk that the entire amount invested may be lost, and should not constitute a complete investment program. The Fund may leverage its investments by borrowing, use of swap agreements, options or other derivative instruments. The Fund is a newly-organized closed-end management investment company that has limited operating history and no public trading of its shares. The Fund is a non-diversified management investment company, meaning it may be more susceptible to any single economic or regulatory occurrence than a diversified investment company. In addition, the fund is subject to investment related risks of the underlying funds, general economic and market condition risk.

 

Alternative investments provide limited liquidity and include, among other things, the risks inherent in investing in securities, futures, commodities and derivatives, using leverage and engaging in short sales.  The Fund’s investment performance depends, at least in part, on how its assets are allocated and reallocated among asset classes and strategies. Such allocation could result in the Fund holding asset classes or investments that perform poorly or underperform.  Investments and investment transactions are subject to various counterparty risks. The counterparties to transactions in over the-counter or “inter-dealer” markets are typically subject to lesser credit evaluation and regulatory oversight compared to members of “exchange-based” markets. This may increase the risk that a counterparty will not settle a transaction because of a credit or liquidity problem, thus causing the Fund to suffer losses.  The Fund and its service providers may be prone to operational and information security risks resulting from breaches in cyber security.  A breach in cyber security refers to both intentional and unintentional events that may cause the Fund to lose proprietary information, suffer data corruption, or lose operational capacity.

The Adviser and the Fund have entered into an operating expenses limitation agreement under which the Adviser has agreed, until at least one year after the effective date of the Fund’s registration statement, to pay or absorb the ordinary operating expenses of the Fund (excluding (i) interest expenses and dividends on short sales, and any fees and expenses incurred in connection with credit facilities including any commitment fees on borrowings, if any, obtained by the Fund; (ii) transaction costs and other expenses incurred in connection with the acquisition, financing, maintenance, and disposition of the Fund’s investments and prospective investments, including without limitation bank and custody fees, brokerage commissions, legal, data, consulting and due diligence costs, servicing and property management costs, collateral valuations, liquidation and custody costs; (iii) acquired fund fees and expenses; (iv) taxes; and (v) extraordinary expenses including but not limited to litigation costs), to the extent that its management fees plus applicable distribution and shareholder servicing fees and the Fund’s ordinary operating expenses would otherwise exceed, on a year-to-date basis, 1.95% per annum of the Fund’s average daily net assets. The Expense Limitation Agreement may not be terminated by the Adviser, but it may be terminated by the Board, on 60 days written notice to the Adviser. Any waiver or reimbursement by the Adviser is subject to repayment by the Fund within the three years from the date the Adviser waived any payment or reimbursed any expense, if (after taking the repayment into account) the Fund is able to make the repayment without exceeding the expense limitation in place at the time of the waiver and at the time of the reimbursement payment. See “Management of the Fund.”

 

BEFORE INVESTING YOU SHOULD CAREFULLY CONSIDER THE FUND’S INVESTMENT OBJECTIVES, RISKS, CHARGES AND EXPENSES.  THIS AND OTHER INFORMATION IS IN THE PROSPECTUS, A COPY OF WHICH MAY BE OBTAINED FROM (877) 774-7724 or click here.  PLEASE READ THE PROSPECTUS CAREFULLY BEFORE YOU INVEST.

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Foreside Fund Partners, LLC, distributor.