Grace Financial Group LLC Fully Disclosed Introducing Broker to Goldman Sachs Execution & Clearing, LP

Prime Broker Solutions

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Member: NFA, Finra, SIPC, PCX, BATS

Member: Finra, SIPC, NFA, PCX, BATS

Contents

• Global Direct Market Access

• Reporting

• Services

• About Us

• Disclosures

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Member: Finra, SIPC, NFA, PCX, BATS

Global Direct Market Access

– US Equities

– US Equity and Index Options

– Global Futures and E-minis

– Single Stock Futures

– Options on Futures

– Major Western European

Equities

– Japan, Australia, HK,

Singapore Equities

– Johannesburg Equities

– Canadian Equities

– Spot and Forward Currency

On One Platform, Electronically Trade:

Member: Finra, SIPC, NFA, PCX, BATS

Global Direct Market Access

• Access Pipeline & Canadian Crossing Network

• Basket Trade Domestic and Foreign Equities

• Integration With Easy To Borrow List

• Interface with Stock Loan Desk

• Multiple Routing Destinations

• Complex Option Order Entry

• FIX and API Connectivity

• Access Hidden Liquidity

• Basket Trade Futures

• Suite of Algorithms

• Spread Trading

On The Same Platform:

Member: Finra, SIPC, NFA, PCX, BATS

Reporting – Books & Records

• View Monthly Brokerage Statements Online– Foreign / Domestic and Futures

• Monthly Statements Mailed From GSEC, LP.– Interested Third Parties Can Receive Their Own Copy

• View Historical Raw Data Online– Online Web Based System Consolidates All Products

– Reach Back in Time Up To Eighteen Months

– Filter By Desired Search Criteria

– View-Only Access Available for Your Accountant or Other Interested Third Parties

– Export to Excel or Acrobat

– Risk Reports Available

Member: Finra, SIPC, NFA, PCX, BATS

Reporting – Portfolio Level

• FIXQ Reporting Package Provided by Grace and Licensed from Portfolio Shop

• FIXQ Can Interface with Multiple Prime Brokers– Uses Straight Through Processing

– Flexible Portfolio Mapping

• Offers Twenty GAAP and AIMR Compliant Reports– On Demand

– Daily Emails Available

– Samples Click Here

Member: Finra, SIPC, NFA, PCX, BATS

About Grace

• Prime Broker to New and Established Hedge Funds

• Minimum Requirement to Execute Away $1myn

• Trading Desk Over 75 Years Combined Experience

• Operations Over 45 Years Combined Experience

• Cater to RIAs

• Agency Only; 3 Agency Desks

• Founded in December 2000

• Over 135 Primed Hedge Fund Clients

• Fully Disclosed Introducing Broker to Goldman Sachs

Execution & Clearing, LP

Member: Finra, SIPC, NFA, PCX, BATS

Services

• Stock Loan for Foreign and Domestic

• Accommodation of IRA Investors

• Access to Grace’s Network of Lawyers, Accountants, and Administrators*

• Introduction** to Third Party Marketers and Other Possible Sources

**Grace does not engage in private placements. Introductions are literally introductions and it is up to the fund

manager to do the rest.

*Grace may have mutual referral relationships with these providers

Member: Finra, SIPC, NFA, PCX, BATS

Services

• Sub Accounts Available– Parent with Multiple Children - One Monthly Statement

– Multiple Parent - Separate Monthly Statements

– Margin and Risk Calculated at Customer Level (Aggregated)

• Portfolio Margining Available – Ask for Details

• Corporate Action Notification on US Domestics

• Custody and Clearing for Select Fixed Income Products and Mutual Funds

Member: Finra, SIPC, NFA, PCX, BATS

Disclosures

NEITHER GSEC, L.P. NOR ITS AGENTS OR REPRESENTATIVES MAKE ANY REPRESENTATIONS AS TO THE ACCURACY, COMPLETENESS OR CORRECTNESS, TIMELINESS OR USEFULNESS OF ANY INFORMATION CONTAINED HEREIN. ALL INFORMATION CONTAINED HEREIN IS PROVIDED "AS IS" AND GSEC, L.P. EXPRESSLY DISCLAIMS MAKING ANY EXPRESS OR IMPLIED WARRANTIES WITH RESPECT TO THE FITNESS OF THE INFORMATION CONTAINED HEREIN FOR ANY PARTICULAR USAGE, ITS MERCHANTABILITY, ITS APPLICATION OR PURPOSE OR ITS NON-INFRINGEMENT. IF ANY PROVISION IN THIS DISCLAIMER AGREEMENT IS HELD TO BE INVALID OR UNENFORCEABLE, THEN THE REMAINING PROVISIONS SHALL CONTINUE IN FULL FORCE AND EFFECT TO THE FULLEST EXTENT POSSIBLE.

All material contained in this presentation is for general information and educational purposes only, and should not be relied upon for any specific purpose. Nothing in this presentation may be considered as an offer or solicitation to purchase or sell securities or services. Information upon which this material is based was obtained from sources deemed reliable but have not been verified. GSEC, L.P. & Grace Financial are registered broker-dealers and members of the National Association of Securities Dealers, Inc.

Coming Soon - Direct Market Access to Brazil, Greece, and Russia and South Korea…

www.finra.org

www.sipc.org

Member: Finra, SIPC, NFA, PCX, BATS

Disclosures

Electronic access may not be available in all futures & options markets. Futures and

options trading is risky and is not suitable for everyone. Losses can be substantial and greater than the amounts initially invested. These are not all the risks associated with option and futures trading. Before trading options all customers must receive Characteristics and Risks of Standardized Options. Copies of this document are available from your broker or the Chicago Board Options Exchange.

This presentation is solely intended for hedge funds as a “laundry list” of services and is not for public consumption nor for retail individuals. Do not distribute in part or in whole.

Grace Financial Group LLC does not engage in private placements. All introductions to possible sources of capital are literally introductions. It is up to the hedge fund manager to do the rest. Outsourced service providers alluded to in this presentation may have a mutual referral relationship with Grace. Not all mutual fund families are available. Grace Financial Group LLC’s designated NASD Compliance Official 516-280-5770

Grace Financial Group LLC Disclosures from website (click here).