a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Class Shares |
ii. Class identification number, if any | C000192970 |
iii. Ticker symbol, if any | CGHIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Matrix 360 Administration, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06409 |
Description of other identifying number | SEC File No. |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Matrix 360 Administration, LLC |
ii. LEI, if any, or other identifying number | 84-06409 |
Description of other identifying number | SEC File No. |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Jones & Associates |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | N/A |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 47,133 |
Brokers Record:
2 |
i. Full name of broker | Tourmaline Partners, LLC |
ii. SEC file number | 8-68644 |
iii. CRD number | 000154492 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,972 |
Brokers Record:
3 |
i. Full name of broker | WPS Prime Services, LLC |
ii. SEC file number | 8-67787 |
iii. CRD number | 000146103 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,469 |
Brokers Record:
4 |
i. Full name of broker | ThinkEquity LLC |
ii. SEC file number | 8-38622 |
iii. CRD number | 000020996 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,100 |
Brokers Record:
5 |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 178 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 79,852 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | ThinkEquity LLC |
ii. SEC file number | 8-38622 |
iii. CRD number | 000020996 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 87,500 |
Principal Transactions Record:
2 |
i. Full name of dealer | Foreside Fund Services, LLC |
ii. SEC file number | 8-51293 |
iii. CRD number | 000046106 |
iv. LEI, if any | N/A |
v. State, if applicable |
MAINE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,000,000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CPAS Fund Ltd. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable | |
vi. Foreign country, if applicable |
CAYMAN ISLANDS
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 165,619 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Class Shares |
ii. Class identification number, if any | C000209764 |
iii. Ticker symbol, if any | AIIFX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Matrix 360 Administration, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06409 |
Description of other identifying number | SEC File No. |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Matrix 360 Administration, LLC |
ii. LEI, if any, or other identifying number | 84-06409 |
Description of other identifying number | SEC File No. |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Jones & Associates |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | N/A |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 27,998 |
Brokers Record:
2 |
i. Full name of broker | Tourmaline Partners, LLC |
ii. SEC file number | 8-68644 |
iii. CRD number | 000154492 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,121 |
Brokers Record:
3 |
i. Full name of broker | WPS Prime Services, LLC |
ii. SEC file number | 8-67787 |
iii. CRD number | 000146103 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,264 |
Brokers Record:
4 |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 17 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 38,400 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,865,760 |
Principal Transactions Record:
2 |
i. Full name of dealer | Millennium Advisors LLC |
ii. SEC file number | 8-68349 |
iii. CRD number | 000151236 |
iv. LEI, if any | N/A |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,844,531 |
Principal Transactions Record:
3 |
i. Full name of dealer | Sumridge Partners LLC |
ii. SEC file number | 8-68454 |
iii. CRD number | 000152437 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,847,810 |
Principal Transactions Record:
4 |
i. Full name of dealer | Goldman Sachs & Co. |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,541,360 |
Principal Transactions Record:
5 |
i. Full name of dealer | Stifel, Nicolaus & Co., Inc. |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | N/A |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,537,483 |
Principal Transactions Record:
6 |
i. Full name of dealer | BOFA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,531,023 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,183,996 |
Principal Transactions Record:
8 |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,057,988 |
Principal Transactions Record:
9 |
i. Full name of dealer | Robert W. Baird & Co., Inc. |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 601,671 |
Principal Transactions Record:
10 |
i. Full name of dealer | Cantor Fitzgerald & Co. |
ii. SEC file number | 8-201 |
iii. CRD number | 000000134 |
iv. LEI, if any | N/A |
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 450,230 |