HawkPeak®
Ralph W. Allen, Jr., CIMA®, MBA
Managing Principal
7400 30th
St. SE
Ada, MI 49301
Cell: 616-881-3420
Email: ralp...
HawkPeak®  Value Proposition
HawkPeak®  HawkPeak, LLC; HawkPeak® Consulting Group; and
HawkPeak® Distributors, LLC et al...
HawkPeak®  Value Add+
 Improve sales penetration through idea sharing and a holistic consultative approach to asset gath...
Investment Managers
Adrian Day Asset Management
Bloomfield Capital
Catalyst Mutual Funds
Euro Pacific Asset Management...
Investment Managers
Adrian Day Asset Management
Mutual Fund and/or Separate Managed Accounts
(http://www.adriandayassetman...
Investment Managers
Bloomfield Capital Income Fund II, LLC
Private Placement - a private equity real estate investment
HIG...
Investment Managers
EPAM – Euro Pacific Asset Management (Peter Schiff)
http://www.europacificfunds.com/
>$1B in Mutual Fu...
Investment Managers
Catalyst Mutual Funds and/or Separately Managed Accounts
>$850+ million in AUM
http://www.catalystmf.c...
Investment Managers
Preferred Apartment Communities, Inc.
Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: A...
Investment Managers
Preferred Apartment Communities, Inc.
Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: A...
Investment Managers
Preferred Apartment Communities, Inc.
Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: A...
Investment Managers
Preferred Apartment Communities, Inc.
Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: A...
Investment Managers
Preferred Apartment Communities, Inc.
Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: A...
Investment Managers
Preferred Apartment Communities, Inc.
Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: A...
Investment Managers
USA Mutuals and/or Separately Managed Accounts
> $300+ million in AUM
http://www.usamutuals.com/vicefu...
Technology Solutions
 Digital Offering (www.digitaloffering.com)
16
Technology Solutions
 Decidere (www.decidere.com) – empirical decision
making tool for multi-variable decisions relative ...
HawkPeak® Partners
Ralph W. Allen, Jr. CIMA®, MBA – Founder, Managing Partner, and Registered Principal -
Great Lakes Regi...
HawkPeak®
HawkPeak®
Alis volat propriis ad infinitum ... He flies by his own wings to infinity, i.e., without limit.
Favor...
HawkPeak®
20
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HawkPeak® Value Prop 3-12-14

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Distribution, Tactical Asset Allocation, ETFs, Exchange Traded Funds, Investment Managers, Wholesale Distribution, Asset Managers, Asset Management, Sales and Marketing, Managed ETFs.

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HawkPeak® Value Prop 3-12-14

  1. 1. HawkPeak® Ralph W. Allen, Jr., CIMA®, MBA Managing Principal 7400 30th St. SE Ada, MI 49301 Cell: 616-881-3420 Email: ralph@hawkpeak.com Website: www.hawkpeak.com Blog: www.hawkpeak.wordpress.com LinkedIn: www.linkedin.com/in/hawkpeak Twitter: @HawkPeak; #HawkPeak 1
  2. 2. HawkPeak®  Value Proposition HawkPeak®  HawkPeak, LLC; HawkPeak® Consulting Group; and HawkPeak® Distributors, LLC et al is a highly specialized and uniquely experienced independent investment and financial services intermediary keenly focused on wholesale investment advisory, investment management, financial products, and consulting services; asset acquisition strategies (AUM) for emerging investment managers through tactical distribution® and consulting services. The art of distribution  having industry experience, the know-how, and relationships which bring buyers and sellers together via distribution and consulting services. HawkPeak’s delta is finding and cultivating boutique investment managers and helping them grow AUM through strategic partnership is HawkPeak's primary focus and competitive advantage. Know-how  finding, cultivating, and connecting best-in-class asset managers and technology solutions with professional buyers both retail and institutional is HawkPeak's value proposition - relationships remain the most valuable currency in financial services; Also paramount is understanding how to navigate the financial services landscape given industry know-how, experience, and intellectual capital. 2
  3. 3. HawkPeak®  Value Add+  Improve sales penetration through idea sharing and a holistic consultative approach to asset gathering, acquisition, and investment management  Share sales ideas that work/are working  Emerging manager search and selection  Advice and guidance  Empirical decision making tools for search and selection; equities, mutual funds, separately managed accounts, ETFs, liquid alts, hedge funds, et al.  Practice management tools  Information flow and shared technology solutions.  Vertical reach; the entire food chain – coverage model includes institutions, public funds, endowments, foundations, banks, broker-dealers, RIAs, wirehouse (largest broker-dealers), family offices, et al.  Horizontal penetration; firm level penetration and product offerings  Research conduit; Rich Bernstein, Advisor Perspectives, etc.  Distribution strategy and implementation; retail/wholesale consulting services, sales, and marketing at the point of sale  Manager Access and connectivity  Feedback loops in regard to market trends and product ideation  Emerging Manager venture investing and/or strategic alignment; M&A 3
  4. 4. Investment Managers Adrian Day Asset Management Bloomfield Capital Catalyst Mutual Funds Euro Pacific Asset Management Preferred Apartment Communities USA Mutuals 4
  5. 5. Investment Managers Adrian Day Asset Management Mutual Fund and/or Separate Managed Accounts (http://www.adriandayassetmanagement.com/) Adrian Day has over a 20+ year track record managing gold and precious metal assets. Adrian Day Asset Management is the business name of Global Strategic Management, a "boutique" asset- management firm founded by Adrian Day in 1991. The firm was created to serve the needs of individuals, families and small institutions who believe in the merits of investing with a global, value perspective. 5
  6. 6. Investment Managers Bloomfield Capital Income Fund II, LLC Private Placement - a private equity real estate investment HIGH YIELD DEBT SECURED BY COMMERCIAL REAL ESTATE 6
  7. 7. Investment Managers EPAM – Euro Pacific Asset Management (Peter Schiff) http://www.europacificfunds.com/ >$1B in Mutual Funds and/or Separately Managed Accounts  International Equity (EPIVX)  Dividend Payers (EPDIX)  Market Oriented  Market Balanced  International Bond (EPIBX)  Asian Small Company (EPASX)  Hard Asset (EPHAX)  China (EPHCX)  Latin America (EPLAX)  Strategic US Equity (EPUSX)  Gold Fund (EPGFX) 7
  8. 8. Investment Managers Catalyst Mutual Funds and/or Separately Managed Accounts >$850+ million in AUM http://www.catalystmf.com/literature_and_forms  Catalyst Event Arbitrage Fund (CEAAX, CEACX, and CEAIX)  Catalyst Insider Buying Fund (INSAX and INSCX)  Catalyst Insider Long/Short Fund (CIAAX and CIACX)  Catalyst Strategic Insider Long/Short Fund (STVAX and STVCX)  Catalyst Value Fund (CTVAX, CTVCX, and CTVIX)  Catalyst/Princeton Floating Rate Income Fund (CFRAX, CFRCX, and CFRIX)  Catalyst/SMH High Income Fund (HIIFX and HIICX)  Catalyst/SMH Total Return Income Fund (TRIFX and TRICX)  Catalyst/CP Core Equity Fund (CPEAX and CPECX)  Catalyst/Groesbeck Growth of Income Fund (CGGAX, CGGCX, and CGGIX)  Hedged/Managed Futures Fund (HFXAX) 8
  9. 9. Investment Managers Preferred Apartment Communities, Inc. Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: APTS) 9
  10. 10. Investment Managers Preferred Apartment Communities, Inc. Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: APTS) 10
  11. 11. Investment Managers Preferred Apartment Communities, Inc. Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: APTS) OFFERING SUMMARY OFFERING UNIT: 1 Share of Preferred Stock and 1 Warrant to buy 20 shares of Common Stock OFFERING PRICE: $1,000 per unit with a minimum investment of $5000 (then $1,0000 increments) OFFERING SIZE: $900,000,000 11
  12. 12. Investment Managers Preferred Apartment Communities, Inc. Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: APTS) INVESTMENT FEATURES DIVIDEND: Seeks to provide 6% annualized dividend, intended to be paid monthly. STATED VALUE: $1,000 per share, subject to adjustment for stock splits, stock dividends, mergers and similar events. LIQUIDITY: Investor has the right to redeem the Preferred Stock at stated value after a 2 year hold, subject to a declining redemption fee. Redemption fee terminates after a 5 year hold. The Preferred Stock ranks senior to the Common Stock with respect to payment of dividends. The Preferred Stock and Warrants are not listed, and we do not intend to list either security, for trading on any securities exchange. There can be no assurance the dividend objective will be met. Our GAAP cash flow from operations, after a reduction for acquisition costs, was insufficient to fully cover our quarterly dividends in the first quarter of 2013 and may be insufficient to fund dividends in the future. Liquidity is subject to future conditions as described in the Prospectus. 12
  13. 13. Investment Managers Preferred Apartment Communities, Inc. Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: APTS) COMMON STOCK WARRANT RIGHTS: Warrant grants the investor the right to purchase Common Stock at a fixed price. STRIKE PRICE: 20% above the prior 20 trading day weighted average price of our Common Stock on the date of issue. HOLDING PERIOD: Exercisable after 1 year. MATURITY: Expires after 4 years. TRANSFERABILITY: Detachable and fully transferrable. The Warrant provides the investor an opportunity to participate in any appreciation in PAC’s Common Stock price above 13
  14. 14. Investment Managers Preferred Apartment Communities, Inc. Publicly traded Real Estate Investment Trust (REIT) (NYSE MKT: APTS) DISTINGUISHING FACTORS LEADERSHIP - Our Chairman and CEO, John A. Williams, is the founder and former CEO of Post Properties, Inc. (NYSE: PPS). EXPERIENCE - Our management team has extensive experience in acquiring, managing and financing commercial real estate, including multifamily. RELATIONSHIPS - Our longstanding industry relationships provide us with continuous access to investment opportunities. BRANDING - We believe our focus on quality, consistency and innovation provides strong national recognition for the Preferred Apartment Communities brand. PROPERTY MANAGEMENT - We believe our depth of property management expertise helps us protect and grow the value of our communities. 14
  15. 15. Investment Managers USA Mutuals and/or Separately Managed Accounts > $300+ million in AUM http://www.usamutuals.com/vicefund/abt.aspx  Vice Fund (VICEX, VICAX, and VICCX) - The Vice Fund invests in companies, both domestic and foreign, engaged in the aerospace and defense industries, owners and operators, gaming facilities as well as manufacturers of gaming equipment, manufactures of tobacco products and producers of alcoholic beverages.  Alcohol, Tobacco, Gaming, and Defense  10 Year track record of outpacing the S&P500  Morningstar 5 Star Fund for 1, 3, and 10 Year+  Generation Wave Growth Fund (GWGFX) - The Generation Wave Growth Fund (GWGFX) seeks to provide a broad spectrum of classic hedge fund strategies in a mutual fund vehicle with daily liquidity. The Fund offers a potentially attractive diversification option targeting capital appreciation over the long-term with low volatility and low correlation to the equity markets. 15
  16. 16. Technology Solutions  Digital Offering (www.digitaloffering.com) 16
  17. 17. Technology Solutions  Decidere (www.decidere.com) – empirical decision making tool for multi-variable decisions relative to financial assets/products; Mutual Funds, Managed Accounts, ETFs, Hedge Funds, etc. 17
  18. 18. HawkPeak® Partners Ralph W. Allen, Jr. CIMA®, MBA – Founder, Managing Partner, and Registered Principal - Great Lakes Region/Grand Rapids - ralph@hawkpeak.com William Dorough - Managing Partner - Great Lakes Region/Northville - bill@hawkpeak.com Patrick Bain – Managing Partner and Registered Principal – Great Lakes Region/Birmingham – patrick@hawkpeak.com Patrick Johnson, Jr. – Regional Managing Director – Great Lakes Region/Chicago – patrick@hawkpeak.com Daniel Ray – Regional managing Director Great Lakes Region/Shelby Township – dray@hawkpeak.com Ben Marshall CIMA® – Managing Partner – New England/Boston – ben@hawkpeak.com Pat Johnson, Jr. – Regional Managing Director – Great Lakes Region/Chicago – pat@hawkpeak.com Kyle Peters – Internal Sales Specialist – Great Lakes Region/Grand Rapids – kyle@hawkpeak.com Kristin Scott – Internal Sales Specialist – West Region/Phoenix – Kristin@hawkpeak.com Laurie Allen – Office/Clerical – Great Lakes Region/Grand Rapids – laurie@hawkpeak.com Paige Allen – Scheduling – Great Lakes Region/Grand Rapids – paige@hawkpeak.com 18
  19. 19. HawkPeak® HawkPeak® Alis volat propriis ad infinitum ... He flies by his own wings to infinity, i.e., without limit. Favorite Quote: “The two most powerful Warriors are Patience and Time”, Leo Tolstoy HawkPeak's Motto: Artes, Scientia, and Veritas (Arts, Knowledge, and Truth). HawkPeak's Client Commitment: Client Dedication, Personal Service, A Written Business and Marketing Plan, Suitable and Transparent Recommendations, Full Disclosure, and Loyalty. HawkPeak's Principles: Client Focus, Respect for the Individual, Teamwork, Responsible Citizenship, Loyalty, Integrity, Diversity, and Democratic Thought Leadership. 19
  20. 20. HawkPeak® 20

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