A liquid approach to alternative investing

Tired of stock market risk?

Are your bonds vulnerable to rising interest rates?

Frustrated by the lack of good alternatives?

Bond Alternative
Bonds (typically a safe haven investment and a source of income) can suffer the loss of principal when interest rates rise.
Stock Alternative
While stocks can provide strong capital appreciation, the tremendous volatility that investors must endure has taken its toll, driving investors to consider other alternatives.
Private Fund Alternative
Typical alternative strategies rely on specific market conditions to generate returns and often have high fees, poor liquidity and complex fund structures.

Ready for an innovative solution? Introducing the Theta Approach

Watch a 3-minute video to learn more about our solutions.

Strategy

Designed for Greater Diversification & Absolute Returns

The Theta strategy provides investors access to an innovative absolute return strategy that can deliver long term equity-like returns with bond-like volatility regardless of market conditions. Further, a meaningful portion of the strategy's annual returns are expected to receive long-term capital gains tax treatment.

Until now, similar strategies have only been offered to the most sophisticated investors through private funds. Liquid Strategies "Theta" is available with daily liquidity and low fees, making it a practical alternative for almost any investor.

How to invest

The Theta strategy is available for investment as a mutual fund or an institutional separate account.

Fund Info

5 Reasons to Invest in Theta

Please click here for Strategy Detail and Historical Performance

View Pdf

View information on the mutual fund version of the Theta Strategy

Fund Info ›

About Us

Building absolute return strategies that diversify traditional investment portfolios.

What we do

Institutions and individual investors are tired of portfolios that fully exposed them to the market's constant gyrations. Increasingly, investors are looking for solutions that deliver a differentiated return experience from that of stocks and bonds without sacrificing liquidity.

Whether focused on income generation or diversification from traditional asset classes, Liquid Strategies offers dynamic solutions to help investors achieve their investment goals.

Who we are

Founded in 2013 by industry veterans, Liquid Strategies, LLC is an independent advisory firm focused on managing liquid, absolute return portfolios with reduced volatility and low correlations to traditional assets. Our firm delivers these solutions to a wide variety of institutional and individual investors.

Executive Team ›

An experienced team focused on delivering timely, liquid and innovative solutions.

Brad Ball

Brad Ball has more than 30 years of investment industry experience. Brad co-founded Liquid Strategies in 2013 and serves as Managing Member, Chief[...]

Read Full Bio
 
Shawn Gibson

Shawn Gibson brings more than 18 years investment experience to his role as Portfolio Manager.  Shawn began his options career in 1997[...]

Read Full Bio
 
Adam Stewart, CFA

Adam Stewart has more than 17 years of investment industry experience and co-founded Liquid Strategies in 2013. Adam is co-portfolio manager of the[...]

Read Full Bio
 
Christopher J. Paolella

Chris Paolella has over 30 years of investment industry experience, is a founding partner of Liquid Strategies and is a member of the firm’s[...]

Read Full Bio
Jim Sauls

Jim Sauls has over 25 years of experience in both the securities and alternative investment industries. Prior to joining Liquid Strategies in 2015,[...]

Read Full Bio
 
Peter F. Welch, CPA

Peter Welch has over 28 years of extensive experience in financial services and consumer finance.  Peter joined the Liquid Strategies team in[...]

Read Full Bio
 
Mason McFalls
Mason McFalls has been in the investment industry for over 5 years. Mason has experience both as a Financial Advisor with Morgan Stanley and as[...]
Read Full Bio
 
Kaitlin Fox
Kaitlin Fox is the newest addition to the Liquid Strategies team, serving as the firm’s Marketing and Administrative Assistant. Kaitlin brings[...]
Read Full Bio


‹ Firm Overview

Contact

We are committed to providing our valued clients with superior investment performance and outstanding client service. For additional information, please Contact Us.

Liquid Strategies, LLC

Six Concourse Parkway NE
Suite 3300
Atlanta, Georgia 30328
google maps

770-350-8700

info@lsfunds.com

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Designed for investors seeking a low cost solution with daily liquidity that aims to deliver attractive returns, low volatility and limited sensitivity to interest rates and equities

Select Class:

  Fund Documents
TickerLQTIX
CUSIP46141P271
Morningstar CategoryOption Writing 
Fund Inception4/01/2014
Expense Ratio1.25% (net)
1.69% (gross)
Minimum Investment$100,000**
TickerLQTVX
CUSIP46141P289
Morningstar CategoryOption Writing 
Fund Inception4/01/2014
Expense Ratio1.50% (net)
1.94% (gross)
Minimum Investment$1,000
Fund Semi-Annual Report
Fund Annual Report
Fund Fact Sheet
SAI
Prospectus
Summary Prospectus
Traditional IRA Disclosures
Roth IRA Disclosures
Investor Brochure


Shareholder Inquiries: 844-8LIQUID
Purchase Fund

*The Adviser has contractually agreed to waive and/or reimburse certain fees until May 1, 2016.

Risk Considerations - The Fund is newly organized and does not have an operating history. The Fund invests primarily in put options on indices, exchange traded funds (ETFs) and common stocks. Accordingly it may be subject to equity risk affected by general market conditions and ETF risk. The Fund's positions in options may be subject to greater fluctuations in value than investments in the underlying instrument. The Fund will incur a form of economic leverage through its use of options, which may increase the volatility of the Fund's returns and may increase the risk of loss to the Fund. There can be no guarantee that the strategy of the Fund will be successful.

**Liquid Strategies LLC as Investment Adviser to the Fund may waive these minimums lower for use by institutional investors, such as retirement plans.
The LS Theta Fund is distributed by IMST Distributors, LLC, which is not affiliated with the Adviser.

How to purchase fund

The LS Theta Fund is becoming widely available through leading financial intermediaries (e.g. brokerage, registered investment advisers, etc.).

To purchase the Fund through an existing investment account, please contact your Financial Adviser.
To directly invest in the LS Theta Fund, follow these 3 steps:

Step 1

Download and Print the Fund account form.

IRA Application
IRA Transfer Application
Regular Account Application

  Step 2

Complete Application.

Questions? Please call 844-8LIQUID
(844-854-7843) toll-free

  Step 3

Send Application.

Please send your completed application with check or wire instructions to one of the below addresses:

Overnight Mail Delivery

LS Funds
C/O UMB Fund Services, Inc
235 W. Galena Street
Milwaukee, WI 53212

  Regular Mail Delivery

LS Funds
PO Box 2175
Milwaukee WI 53201-2175

 

Brad Ball
Chief Executive Officer, Portfolio Manager

Brad Ball has more than 30 years of investment industry experience. Brad co-founded Liquid Strategies in 2013 and serves as Managing Member, Chief Executive Officer and Portfolio Manager. He serves on the Liquid Strategies investment team. Prior to Liquid Strategies, Brad was a founding partner and CEO of Perimeter Capital Management and was a member of the management committee of Concourse Capital Management, LLC, an affiliated investment adviser to a long/short equity private fund. Brad also served as Executive Vice President of Trusco Capital Management and served on the firm’s executive committee. Brad has been in the investment industry since 1985 and has served on numerous industry boards and is a frequent conference speaker. Brad is a graduate of Oklahoma State University where he received a degree in Finance.

Shawn Gibson
Portfolio Manager

Shawn Gibson brings more than 18 years investment experience to his role as Portfolio Manager.  Shawn began his options career in 1997 with the Timber Hill Group, one of the world’s largest options market making firms.  While at Timber Hill Shawn was as an options trader on the floor of the Pacific Exchange and was later promoted to join a small team in Greenwich, CT that was responsible for overseeing the firm’s multi-billion dollar options portfolio.  He subsequently served as Head of Options Strategy and as Director of Alternative Investments at BB&T, where he worked with advisors and their clients to develop options-based hedging and yield enhancing strategies.  Shawn is an active member of his community and was voted as one of the Top 40 leaders under 40 while living in Richmond after being nominated by his peers due to his professional accomplishments and community involvement.  Shawn earned his B.S. in Commerce from the University of Virginia (1994).

Adam Stewart, CFA
Portfolio Manager

Adam Stewart has more than 17 years of investment industry experience and co-founded Liquid Strategies in 2013. Adam is co-portfolio manager of the Theta strategy and serves on the Liquid Strategies investment team, which is responsible for setting portfolio allocations based on the risk profile of the markets. Adam began his career at Franklin Templeton in 1997 and later served as Head of Equity Trading at Trusco Capital Management along with managing equity trading operations. Most recently, Adam was a founding partner and Director of Trading for Perimeter Capital Management. Adam received his Chartered Financial Analyst (CFA) designation in 2001 and earned his B.A. (1997) from Auburn University.

Christopher J. Paolella
Managing Partner

Chris Paolella has over 30 years of investment industry experience, is a founding partner of Liquid Strategies and is a member of the firm’s management committee. Chris is actively involved with Liquid Strategies’ firm-wide strategy, operations, marketing and investor relations. Most recently, he served as Principal, Managing Director for Concourse Capital Management, LLC, general partner to a global long/short equity fund that he co-founded in 2008. Chris also co-founded affiliated, institutional investment management firm Perimeter Capital Management in 2006. At Perimeter, Chris is one of the firm’s Managing Partners and is actively involved in all aspects of the firm’s day-to-day operations. Prior to 2006, he served in senior positions with both Trusco Capital Management and Great-West Life & Annuity. Chris is a graduate of the University of Richmond, where he received a B.A. in Economics.

Jim Sauls
Partner

Jim Sauls has over 25 years of experience in both the securities and alternative investment industries. Prior to joining Liquid Strategies in 2015, Jim was Managing Director at Agecroft partners, a global hedge fund consulting and third party marketing firm, where he headed the firm’s European operations and was responsible for developing and managing the firm’s international relationships as well as performing due diligence on potential new hedge fund clients. Jim has extensive experience working with hedge funds and derivative products on a global basis and interacting with a diverse base of both institutional and high net worth investors. Before joining Agecroft, Jim was CEO of Calatrava Capital Management, a commodity focused hedge fund where he was responsible for all day-to-day operations including the firm's asset raising efforts. Prior to that Jim was President/CEO of UFJ Futures, a global futures commission merchant with operations in London, Singapore and Chicago and whose clients included some of the world’s largest institutional investors. Jim earned his B.S from the University of Illinois and his M.B.A. from the Kellstadt Graduate School of Business at Depaul University.

Peter F. Welch, CPA
Controller and Chief Compliance Officer

Peter Welch has over 28 years of extensive experience in financial services and consumer finance.  Peter joined the Liquid Strategies team in 2014 as the firm’s Controller.  Peter was named Chief Compliance Officer in 2016. He most previously served as Vice President/Corporate Controller for GMT Capital since 2006.  At GMT Capital, he managed the accounting and financial operations for the firm and its long/short equity hedge funds, which totaled over $4 billion.  Peter played an integral role in building the firm’s operational systems and capabilities to handle the growth in assets under management, which more than doubled during his tenure.  At Liquid Strategies, Peter is responsible for the integrity of all reported financial data as well as monitoring the firm’s compliance program and ensuring regulatory requirements are met. Peter is a graduate of Georgia Institute of Technology (1988) and is a Certified Public Accountant.

Mason McFalls
Partner

Mason McFalls has been in the investment industry for over 5 years. Mason has experience both as a Financial Advisor with Morgan Stanley and as Director of Business Development with Foxcode, Inc., a merchant and investment banking firm based in Philadelphia. In 2016, Mason joined the Liquid Strategies team to serve as the Director of Wholesaling. Mason is a graduate of LEAD Atlanta (c/o 2013) and also served a two-year term on the Georgia Supreme Court Justice for Children Committee. Mason attended the University of Georgia, earning a B.S. in Political Science.

Kaitlin Fox
Marketing and Administrative Assistant

Kaitlin Fox is the newest addition to the Liquid Strategies team, serving as the firm’s Marketing and Administrative Assistant. Kaitlin brings several years of experience in the marketing world. She has previously served as the Marketing and Admissions Coordinator for Horizon Christian Academy, among other marketing and administrative roles held with various companies throughout Atlanta. Kaitlin graduated from the University of North Georgia, earning a B.B.A. in Marketing in 2012.

Disclaimer

Past performance is not indicative of future results. This information should not be evaluated independent of or without reference to the investment advisory agreement that more specifically addresses applicable investment advisory fees. Advisory fees charged by Liquid Strategies are described in Part 2 of Liquid Strategies’ Form ADV. For a free copy of Form ADV, please contact Liquid Strategies at (770) 350-8700.

The opinions expressed represent the personal views of Liquid Strategies’ investment professionals and are based on their broad investment knowledge, experience, research and analysis.

This website is provided for general informational purposes only and should not be considered an individualized recommendation or personalized investment advice. The investment strategy discussed here may not be suitable for everyone. It was provided without regard to the specific investment objectives, financial situation or particular needs of any specific recipient. Each investor needs to review an investment strategy for his or her own particular situation before making any investment decision. All expressions of opinion are subject to change without notice in reaction to shifting market conditions.

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