Casedy Consulting LLC Brochure

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

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Casedy Consulting LLC Brochure

  1. 1. COO/CFO Outsourcing and Operational Due Diligence Consulting John A. Rogers, CPA, Founding Partner > Phone: (914) 533-0306 > email: jrogers@casedyconsulting.com
  2. 2. Table of Contents • Casedy Consulting Overview page 3 • Founding Partner Biography page 4 • Summary of Consulting Services page 6 • Outsourcing: Start Up Phase g p p g 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 p g p g page 15 • Contact Information page 16 COO/CFO Outsourcing and Operational Due Diligence Consulting
  3. 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 p g y g • 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 g g y g business cycle • Also provides operational due diligence consulting services to investors in hedge funds who do not have the resident experience g p to properly evaluate operational risk COO/CFO Outsourcing and Operational Due Diligence Consulting P>3
  4. 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. COO/CFO Outsourcing and Operational Due Diligence Consulting P>4
  5. 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 p 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P>5
  6. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P>6
  7. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P>7
  8. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P>8
  9. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P>9
  10. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P > 10
  11. 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 g , p , g during SEC audit COO/CFO Outsourcing and Operational Due Diligence Consulting P > 11
  12. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P > 12
  13. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P > 13
  14. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P > 14
  15. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P > 15
  16. 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 COO/CFO Outsourcing and Operational Due Diligence Consulting P > 16

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