a) Background DFG Investment Advisers, Inc. is an asset management firm specialized in structured and alternative credit products. DFG was founded in 2006 and is based in New York. Since inception, DFG has been focused on structured and alternative credit markets, providing discretionary and non-discretionary portfolio management and investment advisory services to investors such as insurance companies, pension funds, banks, private investment funds, family offices, and fund-of-funds, mainly in the form of pooled investment vehicles and separate accounts (the “Separate Accounts”). In 2011, DFG expanded into the portfolio management of leveraged loans, launching its Leveraged Credit Division. Since then, DFG has issued ten collateralized loan obligation (“CLO”) vehicles, of which the first two CLOs (Vibrant CLO, Ltd. and Vibrant CLO II, Ltd.) have been successfully called, and the other eight CLOs (Vibrant CLO III, Ltd. to Vibrant CLO X, Ltd.) are in their reinvestment periods. Vibrant CLO VI, Ltd. and Vibrant CLO VII, Ltd. are risk retention compliant and managed by DFG’s relying adviser, Vibrant Credit Partners, LLC, with DFG acting as a sub-adviser. Additionally, DFG currently has a CLO warehouse open for its upcoming 11th CLO transaction, Vibrant CLO XI, Ltd. DFG also manages four open-ended investment funds (the “Funds”), including the SENTE Fund, the SENTE Strategic Fund, the Vibrant Opportunity Fund, and the Vibrant Ambar Fund, as well as five separately managed accounts (the “Separate Accounts“), which predominantly focus on capturing opportunities in the CLO debt tranche markets. DFG further provides arms-length risk advisory and consulting services focused on structured credit portfolios for certain institutional investors. Unless clearly suggested otherwise, the Funds, the CLOs and Separate Accounts are collectively referred to herein as the “Clients”. b) Advisory Services DFG provides investment advisory and consulting services geared towards the structured and alternative credit markets.

Additionally, DFG may be hired as a consultant to provide risk advisory solutions to meet a variety of objectives, including, but not limited to, risk monitoring and/or valuation of portfolios of complex credit assets, and consulting on deal structuring and documentation, quantitative modeling as well as for general business development consulting. c) Tailored Advice and Client-Imposed Restrictions DFG offers each of its Clients tailored advice to suit its investment objectives, strategies and restrictions within the expertise of DFG’s offerings. Certain DFG services focus on a narrow investment strategy while others may pursue a broader investment strategy. In general, DFG prepares offering materials with respect to each Client that contain more detailed information, including a description of the investment objective and strategy or strategies employed and related restrictions. These serve as a limitation on DFG’s management. Clients can also impose restrictions on DFG’s management through documents defining the investment program for the Client. An investment in a DFG Fund does not create a client-adviser relationship between DFG and an investor.

Clients and Investors must consider whether a particular DFG advisory relationship is appropriate to their own circumstances based on all relevant factors including, but not limited to, the Client’s own investment objectives, liquidity requirements, tax situation and risk tolerance. Prospective Clients are strongly encouraged to undertake appropriate due diligence, including, but not limited to, a review of documents relating to the proposed investment program for the Funds, Separate Account, or CLOs and to investigate additional details about DFG’s investment strategies, operations, methods of analysis, and related risks (see also Item 8 of this Brochure), before making an investment decision or committing to a service provided by DFG. d) Wrap Fee Disclosure Not applicable. e) Assets Under Management As of December 31, 2018, DFG had approximately $5,632,506,2251 in assets under management (“AUM”). please register to get more info

Open Brochure from SEC website
Pooled Investment Vehicles $5,756,782,777
Discretionary $6,336,605,009
Non-Discretionary $293,146,343
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