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Whiterivergroup Whiterivergroup WhiteRiverGroup WhiteRiverGroup RISK DISCLOSURE STATEMENT THE RISK OF LOSS IN TRADING COMMODITIES CAN BE SUBSTANTIAL. YOU SHOULD THEREFORE CAREFULLY CONSIDER WHETHER SUCH TRADING IS SUITABLE FOR YOU IN LIGHT OF YOUR FINANCIAL CONDITION. THE HIGH DEGREE OF LEVERAGE THAT IS OFTEN OBTAINABLE IN COMMODITY TRADING CAN WORK AGAINST YOU AS WELL AS FOR YOU. THE USE OF LEVERAGE CAN LEAD TO LARGE LOSSES AS WELL AS GAINS. IN SOME CASES, MANAGED COMMODITY ACCOUNTS ARE SUBJECT TO SUBSTANTIAL CHARGES FOR MANAGEMENT AND ADVISORY FEES. IT MAY BE NECESSARY FOR THOSE ACCOUNTS THAT ARE SUBJECT TO THESE CHARGES TO MAKE SUBSTANTIAL TRADING PROFITS TO AVOID DEPLETION OR EXHAUSTION OF THEIR ASSETS. THE DISCLOSURE DOCUMENT CONTAINS A COMPLETE DESCRIPTION OF THE PRINCIPAL RISK FACTORS AND EACH FEE TO BE CHARGED TO YOUR ACCOUNT BY THE COMMODITY TRADING ADVISOR (“CTA”). THE REGULATIONS OF THE COMMODITY FUTURES TRADING COMMISSION (“CFTC”) REQUIRE THAT PROSPECTIVE CUSTOMERS OF A CTA RECEIVE A DISCLOSURE DOCUMENT WHEN THEY ARE SOLICITED TO ENTER INTO AN AGREEMENT WHEREBY THE CTA WILL DIRECT OR GUIDE THE CLIENT’S COMMODITY INTEREST TRADING AND THAT CERTAIN RISK FACTORS BE HIGHLIGHTED. THIS BRIEF STATEMENT CANNOT DISCLOSE ALL OF THE RISKS AND OTHER SIGNIFICANT ASPECTS OF THE COMMODITY MARKETS. THEREFORE, YOU SHOULD PROCEED DIRECTLY TO THE DISCLOSURE DOCUMENT AND STUDY IT CAREFULLY TO DETERMINE WHETHER SUCH TRADING IS APPROPRIATE FOR YOU IN LIGHT OF YOUR FINANCIAL CONDITION. YOU MAY ALSO REQUEST DELIVERY OF A HARD COPY OF THE DISCLOSURE DOCUMENT, WHICH WILL ALSO BE PROVIDED TO YOU AT NO ADDITIONAL COST. THE CFTC HAS NOT PASSED UPON THE MERITS OF PARTICIPATING IN ANY OF THESE TRADING PROGRAMS NOR ON THE ADEQUACY OR ACCURACY OF ANY OF THESE DISCLOSURE DOCUMENTS. OTHER DISCLOSURE STATEMENTS ARE REQUIRED TO BE PROVIDED YOU BEFORE A COMMODITY ACCOUNT MAY BE OPENED FOR YOU. ADDITIONAL DISCLOSURE REQUIRED FOR ADMINISTRATIVE FEES. A COMPLETE DISCUSSION OF FEES AND CHARGES ARE REPORTED IN THE CTA’S DISCLOSURE DOCUMENT. Investors should be aware that trading futures and options involves substantial risk of loss and is not suitable for all investors. Past performance is not necessarily indicative of future results. This matter is intended as a solicitation to invest in Managed Futures. A complete discussion of fees and charges are reported in the CTA’s disclosure document. Specifically, one should recognize that an introducing broker may charge a front-end startup fee of up to 6% of the initial trading contribution. Be advised that IBs clearing ADMIS may charge a maximum 3% front-end fee. Please note that this charge is not reflected in the performance of the commodity trading advisor and could have a significant impact on the customer’s ability to achieve similar returns. 2 WhiteRiverGroup COMPANY OVERVIEW • WhiteRiverGroup (doing business of Arctic Asset Management, LLC) was founded on January 25, 2007. • WhiteRiverGroup is a registered Commodity Trading Advisor (“CTA”) whose primary goal is to generate the highest quality of risk-adjusted returns for our clients. We measure our success against other managed futures programs, investment benchmarks, as well as our own industry sector benchmarks. Our long-term goal is to provide consistently attractive returns, with contained drawdowns. • WhiteRiverGroup is an alternative investment company that specializes in managed futures, specifically in trading futures options on the E-mini S&P 500 contract. • WhiteRiverGroup is registered with the Commodity Futures Trading Commission (“CFTC”) and is a member of the National Futures Association (“NFA”). • Be advised trading futures and options involves substantial risk of loss and is not suitable for all investors. There are no guarantees of profit no matter who is managing your money. Past performance is not necessarily indicative of future results. There is unlimited risk of loss in selling options. An investor must read and understand the Commodity Trading Advisor’s most current disclosure document before investing. Investors should be aware that trading futures and options involves substantial risk of loss and is not suitable for all investors. Past performance is not necessarily indicative of future results. This matter is intended as a solicitation to invest in Managed Futures. A complete discussion of fees and charges are reported in the CTA’s disclosure document. Specifically, one should recognize that an introducing broker may charge a front-end startup fee of up to 6% of the initial trading contribution. Be advised that IBs clearing ADMIS may charge a maximum 3% front-end fee. Please note that this charge is not reflected in the performance of the commodity trading advisor and could have a significant impact on the customer’s ability to achieve similar returns. 3 WhiteRiverGroup ELEMENTS OF ASSET CLASSES Asset Classes Alternative Investments Investors should be aware that trading futures and options involves substantial risk of loss and is not suitable for all investors. Past performance is not necessarily indicative of future results. This matter is intended as a solicitation to invest in Managed Futures. A complete discussion of fees and charges are reported in the CTA’s disclosure document. Specifically, one should recognize that an introducing broker may charge a front-end startup fee of up to 6% of the initial trading contribution. Be advised that IBs clearing ADMIS may charge a maximum 3% front-end fee. Please note that this charge is not reflected in the performance of the commodity trading advisor and could have a significant impact on the customer’s ability to achieve similar returns. 4 WhiteRiverGroup ELEMENTS OF ASSET CLASSES The various Hedge Fund Strategies Global/Macro Tactical Trading Managed Futures/CTA Long/Short Equity Global, Regional, Hedge Sectoral, Emerging Fund Strategies Event Driven Distressed Securities, Risk Arbitrage, Event-Driven Multi-Strategy Convertible Arbitrage, Fixed-Income Relative Arbitrage Arbitrage, Equity Market Neutral Multi-Strategy Funds Others Funds of Funds Investors should be aware that trading futures and options involves substantial risk of loss and is not suitable for all investors. Past performance is not necessarily indicative of future results. This matter is intended as a solicitation to invest in Managed Futures. A complete discussion of fees and charges are reported in the CTA’s disclosure document. Specifically, one should recognize that an introducing broker may charge a front-end startup fee of up to 6% of the initial trading contribution. Be advised that IBs clearing ADMIS may charge a maximum 3% front-end fee. Please note that this charge is not reflected in the performance of the commodity trading advisor and could have a significant impact on the customer’s ability to achieve similar returns. 5 WhiteRiverGroup ANDREAS DIESSBACHER Andreas Diessbacher is principal and trader for WhiteRiverGroup. His academic and work credentials are exemplary. Throughout high school and college Andreas excelled in mathematics receiving As in his courses. His education focused on vital elements of commodity trading ranging from statistics, probability theory and global financial markets. After completing his studies at Germany’s Fachhochschule University (out of 2000 applicants he was one of 30 accepted), he moved to the United Kingdom where he furthered his studies at Coventry University. There he studied under Keith Redhead who is noted for writing financial books used to do in house training for major financial institutions in London. (Among the many books, Redhead wrote are Financial Derivatives: An Introduction to Futures, Forwards, Options & Swaps and Financial Risk Management). At Coventry University, Andreas received his B.A. in Business Studies with honors. His honors project reflected his main interest and passion: “An Evaluation of Option Pricing Models”. In 1998 he began his professional career as a commodities broker. He utilized his educational training in the markets and began honing his options and futures trading skills. A good part of his professional learning experience occurred at Refco where he oversaw over 1000 accounts and carefully observed how traders made, lost and preserved money. This experience helped him select what he believed were the optimal strategies for option trading and risk management, and he formulated his own proprietary option writing trading strategy that he has used with clients for years. While work keeps Mr. Diessbacher very busy, he still finds the time to help the youth of Chicago by sponsoring high school education for inner city kids at risk through PEAK (Partnership to Educate and Advance Kids). He is also a member of Chicago Council on Global Affairs. When Mr. Diessbacher feels it’s time to take a break, he can be found traveling the world: India, Tibet, New Zealand, Australia, Morocco, Costa Rica and Patagonia are only a few of the fifty countries he has visited. In the little down time he has he can be found reading, mountain hiking, skiing and biking. Investors should be aware that trading futures and options involves substantial risk of loss and is not suitable for all investors. Past performance is not necessarily indicative of future results. This matter is intended as a solicitation to invest in Managed Futures. *This material mentions services which rank the performance of commodity trading advisors. Please note that the rankings apply only to those CTAs who submit their trading results. The rankings in no way purport to be representative of the entire universe of commodity trading advisors. The material in no way implies that these results are officially sanctioned results of the commodity industry. Be advised that an individual cannot invest in the index itself and the actual rates of return for an individual program may significantly differ and be more volatile than the index. A complete discussion of fees and charges are reported in the CTA’s disclosure document. Specifically, one should recognize that an introducing broker may charge a front-end startup fee of up to 6% of the initial trading contribution. Be advised that IBs clearing ADMIS may charge a maximum 3% front-end fee.
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