Prateek Mehrotra Email & Phone Number

Appleton, Wi, Us

As Chief Investment Officer, I am responsible for sourcing, analyzing, recommending, monitoring and reporting on both alternative and traditional investments. I manage relationships with high net worth clients, institutional investors, and traditional/alternative (hedge funds, private equity and real assets) money management firms.

Our mission is to provide unique exchange traded fund (ETF) based model solutions that are low-cost, provider agnostic, and are designed to deliver superior risk-adjusted returns.We are a third-party strategist that builds ETF-based model solutions. The proliferation of exchange traded funds (ETFs) has created a maze of investment options to chose from, just like the growth of Mutual Funds created the need for Advisers to put pools of Mutual Funds together in an asset allocation framework. We differentiate our exchange traded funds (ETF) models from the ground up by utilizing a core-satellite approach for portfolio construction. This approach not only allows for a reduction in overall investment costs but also increases the potential for improved risk-adjusted returns.We know that Asset Allocation drives over 90% of a portfolio’s return over the longer term, with Security Selection and Market Timing accounting for the balance. History shows us that most active money managers cannot beat their benchmarks over the long term. Therefore, using passive indices through exchange traded funds (ETFs) to gain exposure to broad asset classes for a major portion of the portfolio makes good economic sense.The exchange traded fund (ETF) models that we build are utilized within 401(k) plans, by other Investment Advisors within their practice, Family Offices, Endowments, Foundations, Trusts, and Individual Investors.➠Please tour our website www.ETFModelSolutions.com and you will find our models to be flexible, dynamic, and easily adapted to your investment needs. I invite you to contact me to discuss your individual investments and how our ETF Model Solutions can improve your portfolio.☎ Please contact me, Prateek Mehrotra, CFA, CAIA, at 920.785.6012 or Prateek@ETFModelSolutions.com. I look forward to our conversation.

• Perform money manager search with a focus on alternative investments including hedge funds, private equity, venture capital and real assets. Research the key sources of risk and return within these broad array of non-traditional asset classes. • Evaluate investments on a quantitative and qualitative basis, visit with managers, monitor investments, participate in marketing and client presentations. Develop a process and framework for evaluating different hedge fund styles and their specific roles in a portfolio strategy.• Manage a “Fund of Managed Accounts” with 20 plus hedge fund managers in a “Structured Product Format”. The Fund of Managed Accounts is the return driver for a Principal Protected Note and a leveraged Warrants offering. This investment is designed to offer superior transparency, risk control and monitoring, far exceeding that in the traditional Fund-of-Hedge-Funds.• Formulate and assist in implementing marketing plans to grow the asset base of the Firm. Identify a range of investors including pension funds, banks, endowments, foundations, family offices, high net worth individuals. Responsible for presenting the hedge Fund-of-Funds to over 100 plus advisors with National Advisors Trust Company.• Provide investment consulting to clients and design an Investment Policy Statement based on an understanding of the client’s return objectives and risk tolerance taking into account their investment horizon and constraints. Perform asset allocation studies leading to optimal portfolio construction, with appropriate return to risk tradeoffs and diversification.• Contribute to new product development by working with other team members. Develop new structured products around alternative investments in hedge funds, based on an understanding of client requirements. Control complex product processes on an on-going basis, deal with risk management team, customer requests, as well as accounting and operations teams.

• Research, source, analyze and execute investments in private technology companies based in the U.S., with a focus on enterprise/infrastructure software, wireless, optical and semiconductors. Responsible for leading due diligence, conducting market and competitive analysis and negotiating definitive documentation.• Actively involved in closing over twenty investments and represented GTG on the Boards of four portfolio companies.• Sponsor and present investment opportunities to other members of the Committee and lead due diligence on approved companies.• Maintain relationships with key deal sources and expand GTG’s network by initiating new contacts with peers, entrepreneurs, investment banks, venture funds, etc. In addition, initiated and established a direct deal sourcing model based on top-down and bottom-up research. • Track portfolio company developments and update international team members. Contributed to the investment strategy of the Fund vis-à-vis the sector focus, stage of development, follow-on investing, asset allocation, etc. • Architect GTG’s flagship Technology Fund and prepared the PPM and investor presentation for potential investors. Formulated strategies for raising capital for GTG’s technology Funds. Participated in raising and investing over US$100 million.

Us

• Structured and co-managed a hedge fund for investing in PIPE deals. Fund liquidated with net IRR exceeding 18% p.a. over two years.• Constructed, implemented and co-managed a fund-of-funds for investing in hedge funds, with a master-feeder structure. Actively involved in all aspects of sourcing, allocation, monitoring and rebalancing decisions. The Fund’s initial corpus of US$20 million was spread across 11 managers encompassing strategies like convertible bond arbitrage, risk arbitrage, mortgage backed, emerging market debt, long-short equity, market neutral, etc.• Research the key sources of risk and return within broad array of non-traditional asset classes such as venture capital, leveraged buyouts, mezzanine debt and hedge funds.• Initiate and manage quantitative & qualitative analysis in order to recommend a process and framework for evaluating various hedge fund strategies and their roles in a portfolio context.• Developed and managed a broad network of deal sources and other intermediaries for PIPE’s, private equity deals, hedge funds, special opportunities/alternative investments, etc.• Sourced, analyzed and managed investment in a niche “convergence” private equity fund. Assisted in raising US$15 million for investing in a high technology trading program sponsored by Citibank.• Evaluated and invested US$5 million in private and public equity offerings from regional companies, which were liquidated at attractive returns. As an active member of Rana’s Investment Committee explored new investment ideas and products for investing and marketing.

Mba, Finance

B. Tech., Mechanical Engineering

High School Diploma, Math, Physics And Chemisty