document_description: The document discusses a legal dispute involving Jeffrey Epstein, Citibank, and Financial Trust Co. (FTC) regarding a $10 million loan and investment in an AIG-managed venture. Epstein was assured of high returns on his investment, but the investment deteriorated. Citibank sued Epstein for defaulting on loans, while Epstein's side filed a complaint alleging issues with Citibank's handling of the investment. The court addresses jurisdiction and motions to dismiss or transfer the case.

key_locations:
Southern District of New York
Virgin Islands

key_organizations:
Citibank
Financial Trust Co.
AIG
SSB
Chase Manhattan
Citigroup


source: doj

document_description: The court finds that it has personal jurisdiction over the defendants, Citibank and Citigroup, under the Virgin Islands Long-Arm Statute and the U.S. Constitution's Due Process Clause. The defendants argued that they have no presence in the Virgin Islands, but the court determined that their business activities and connections with the territory are sufficient to establish jurisdiction.

document_type: legal

document_subtype: Court Opinion

key_organizations: Citibank Citigroup AIG


document_description: The court finds that it has general jurisdiction over Citibank and Citigroup due to their continuous business operations in the Virgin Islands. The court denies the motion to dismiss for lack of personal jurisdiction and improper venue, asserting that the Virgin Islands is a proper venue under 28 U.S.C. § 1391(a). The court also denies the request to transfer the case to New York, despite the defendants' arguments regarding jurisdiction and venue clauses in agreements.

key_locations:
Virgin Islands
New York
St. Thomas

document_subtype: court ruling

key_organizations: Citibank Citigroup


document_description: The court denies the motion to transfer the case from the Virgin Islands to another jurisdiction, emphasizing the plaintiffs' ties to the Virgin Islands and the lack of significant inconvenience to the defendants. The court also finds that the amended complaint adequately states claims under Federal Rule of Civil Procedure 12(b)(6), and that Virgin Islands law, not New York law, governs the lawsuit.

key_locations:
Virgin Islands
New York

key_organizations:
Citibank
Citigroup
Financial Trust
AIG


document_description: The document discusses a legal motion to dismiss claims against Citibank and Citigroup by plaintiffs alleging nondisclosure of conflicts of interest and breach of fiduciary duty related to AIG investments. The court considers whether New York or Virgin Islands law applies, the adequacy of the plaintiffs' allegations, and the propriety of considering certain documents under Rule 12(b)(6). The court finds that factual disputes preclude dismissal of the claims at this stage.

key_people: Citibank Citigroup AIG

key_locations:
New York
Virgin Islands

document_subtype: motion to dismiss


document_description: The document discusses a legal case where plaintiffs allege that defendants failed to disclose a conflict of interest, forcing them to keep funds in a failing investment. The plaintiffs claim a fiduciary relationship with the defendants, who acted as financial advisors. The court finds the amended complaint adequately states claims for breach of fiduciary duty and negligent misrepresentation. However, the court requires the plaintiffs to reframe rescission and punitive damages claims as part of the ad damnum clause. The defendants argue for dismissal of certain counts due to lack of particularity in fraud claims.

key_people:
Jo-Ann's Launder Ctr, Inc.
Chase Manhattan Bank, N.A.
Citibank
Citigroup
AIG
Epstein
FTC

document_subtype: court filing

key_organizations: Citibank Citigroup AIG SSB


document_description: The court denies Citibank's and Citigroup's motions to dismiss for lack of personal jurisdiction, improper venue, and to transfer the case. The court finds the amended complaint adequately states claims of breach of fiduciary duty and negligent misrepresentation, denying the defendants' motion to dismiss for failure to state a claim. However, Counts I, II, III, and VI are dismissed for not meeting Rule 9(b)'s pleading standard for fraud, with leave to amend.

key_people: Davison Epstein

key_locations: United States District Court for the Southern District of New York

document_subtype: court order

key_organizations:
Citibank
Citigroup
AIG
SSB
Mass Mutual


document_description: The document discusses Jeffrey Epstein's financial dealings, including a $10 million loan from Citibank intended for investment in the Mass Mutual Fund. It also covers legal arguments related to the Martin Act, a New York securities law, and a fraud claim against Citibank and Citigroup. The document references motions to dismiss and legal precedents regarding the Martin Act.

key_organizations:
Citibank
Mass Mutual Fund
Citigroup


document_description: The document outlines the account planning initiative for 2018, focusing on the Jockey Club's relationship with Deutsche Bank. It includes details about the relationship team, client profile, and historical banking relationship. The Jockey Club is a breed registry for Thoroughbred horses in the US, Canada, and Puerto Rico, with a longstanding relationship with Deutsche Bank since 1976. The document also lists key officers of the Jockey Club and mentions their banking relationship with JP Morgan Chase.

title: Account Planning Initiative for 2018

key_people:
Stewart Oldfield
James Gagliano
Matt F. Iuliano
Laura Barillaro
Terri Sohrab
Michael Mullin

document_type: tabular

key_locations:
New York City
Lexington, Kentucky

document_subtype: account planning document

key_organizations:
Jockey Club
Deutsche Bank
JP Morgan Chase


document_description: Discussion about potential business opportunities with Safanad, including pre-k education, data centers, aviation finance, and real estate transactions like MCM and the Elara hotel.

document_type: correspondence


document_description: The document outlines the account planning for the Lindemann relationship, managed by the Stewart Oldfield banker team. It provides a detailed client profile of Adam and George Lindemann Jr., their business ventures, and their banking relationships. The document also highlights opportunities and challenges in managing this relationship.

title: 2018 Account Planning

key_people:
Adam Lindemann
George Lindemann Jr.
George Lindemann
Stewart Oldfield
Andrew King
Paul Bartilucci
Matt Glassman
Laura Farischon
Joshua Frank
Sam Petrucci
Charlie Burrows

key_locations:
New York City
Los Angeles
Miami

document_subtype: Account Planning Document

key_organizations:
Deutsche Bank
Credit Suisse
BAML
UBS
Metro Mobile
Southern Union Company
The New York Observer
Bass Museum of Art
Venus over NY/LA


document_description: The memo discusses lending opportunities with Adam and George, who maintain leverage against their shares of ETE. A margin loan was executed with George in 2015 but was taken out by UBS. Attempts to lend to Adam have been unsuccessful due to his high leverage and BAML's control over his borrowing. Adam's limited cash flow and inability to sell a Montauk property are also noted.

key_people: Adam George

document_subtype: memo

key_organizations: ETE UBS BAML


document_description: This document outlines the account planning for Elysium Management, the family office managing Leon Black's capital. It includes the relationship team, client profile, and opportunities and challenges in managing the account. The relationship was established in 2014, referred by Jeffrey Epstein, and is managed by Stewart Oldfield. The document highlights the challenges in securing substantial business due to Leon Black's use of leverage and illiquid assets.

title: 2018 Account Planning for Elysium Management

key_people:
Leon Black
Stewart Oldfield
Brad Weschsler
Barry Cohen
Greg Ruben
Josh Black
Paul Morris
Jeffrey Epstein

key_organizations:
Elysium Management
Apollo Global Management LLC
BAML
IMAX


document_description: A memo discussing financial dealings with Leon, including a $300 million unsecured loan offer from JPM, a $200 million mortgage offer, and a business deal secured by BAML. It also mentions a potential line of credit to an insurance company Leon acquired and notes the limited investment opportunities due to Leon's family office strategy.

key_organizations: JPM BAML Apollo


document_description: This document outlines the account planning for Third Lake Capital, a single family office managing the capital of Ronald Wanek's family, founder of Ashley Furniture. The document includes details about the relationship team, client profile, and the banking relationship with Deutsche Bank. The family office manages over $80 million in assets with Deutsche Bank and has additional banking relationships with Goldman Sachs and TD Ameritrade. Key contacts include Ken Jones (CEO), Paul Watson (CIO), and Robert Forsythe (VP Investments).

title: 2018 Account Planning for Third Lake Capital

key_people:
Ronald Wanek
Stewart Oldfield
Paul Morris
Ken Jones
Paul Watson
Robert Forsythe
Ron Wanek
Todd Wanek

key_organizations:
Third Lake Capital
Ashley Furniture
Deutsche Bank
Goldman Sachs
TD Ameritrade


document_description: The document discusses the investment strategies and challenges faced by Third Lake, a family office. It highlights their shift from direct private investments to a diversified portfolio, their interest in real estate and structured finance funds, and their underexposure to public equities. The memo also addresses the challenges of competition and complexity in doing business with them.

key_organizations:
Third Lake
Ashley
ISG
Virage


document_description: Discussion of opportunities and challenges in engaging with a financially sophisticated private equity firm. The firm has broad investment interests and relationships across the financial industry, making it challenging to stand out. The memo emphasizes the need to find ways to be more relevant to the firm.


document_description: The document outlines the account planning for the Deering/Crosby relationship managed by Deutsche Bank Wealth Management. It includes details about the relationship team, client profile, and the history of the relationship with the bank.

title: 2018 Account Planning - Deering/Crosby

key_people:
Stewart Oldfield
Heather Deering Crosby
Anthony W. Deering
Frank DeBenedittis
Brian Harrington
Paul Bartilucci
Sam Petrucci
Matt Glassman
Charlie Burrows
George Hack

key_organizations: Mercantile-Safe Deposit and Trust Company


document_description: The document discusses the opportunities and challenges in managing the assets of the Deering/Crosby family. It highlights the roles of Tony Deering and his daughter Heather Deering Crosby in various financial and non-profit entities. The document outlines potential business opportunities with the Deering/Crosby family and their associated RIA, Matheys Lane Capital Management L.P., while also noting the competitive landscape and challenges in asset management.

key_people:
Tony Deering
Heather Deering Crosby
Kathryn Deering

key_locations: Baltimore Florida


document_description: The document provides an analysis of various currency pairs including USDJPY, EURJPY, AUDUSD, NZDUSD, USDCAD, and USDCHF. It discusses support and resistance levels, market trends, and potential impacts of economic data and political events on these currencies.

key_people:
Greg Fiori
Brendan Halligan

key_locations:
US
Japan
New Zealand
Canada

key_organizations:
RBA
NZ First party


document_description: The document provides a financial analysis of currency pairs USDCHF, EURSEK, and EURNOK, as well as metals XAUUSD and XAGUSD. It includes support and resistance levels, market sentiment, and trading strategies. The analysis suggests a cautious approach to USD longs and highlights potential trading opportunities in EURSEK and EURNOK. It also discusses the performance of gold and silver in relation to USD strength and market conditions.

key_people:
Michael Bilbe
Habibi Salib
Martin Zeman

document_subtype: financial analysis

key_organizations:
Deutsche Bank Wealth Management
DB Securities Inc


document_description: A confidential communication from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, containing disclaimers about confidentiality and legal advice.

document_subtype: business communication

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc


document_description: This document is a confirmation letter from Deutsche Bank AG, London Branch, regarding the terms and conditions of a Currency Option Transaction with PRIVATE CLIENT SERVICES PWM ALEX BROWN AC SOUTHERN FINANCIAL LLC. It includes references to the 1998 FX and Currency Option Definitions and mentions the intention to negotiate an ISDA Master Agreement.

key_people:
Paul Acher
John Cryan
Kimberly Hammonds
Stuart Lewis
Sylvie Matherat
Garth Ritchie
Karl von Rohr
Marcus Schenck
Christian Sewing
Werner Steinmüller
Jeffrey Epstein

document_type: financial

key_locations:
London
Baltimore
Frankfurt am Main

document_subtype: Currency Option Transaction Confirmation

key_organizations: International Swaps and Derivatives Association, Inc.


document_description: This document is a confirmation of a currency option transaction between Party A and Party B, facilitated by Deutsche Bank. The transaction involves a EUR Put/USD Call option with specific terms including trade date, expiration date, and settlement date. The document outlines the representations and disclosures related to the transaction.

key_people:
John Cryan
Kimberly Hammonds
Sylvia Maherst
Gath Ritchie
Karl von Rohr
Marcus Schenck
Canssian Sewing
Wemer Steinmutter
Jeffrey Unwin

key_locations:
New York
London
Germany

document_subtype: Currency Option Confirmation


document_description: A confirmation letter from Deutsche Bank AG, London Branch, signed by Aparna Shrivastava, an authorised signatory. The letter is addressed to a private client service and requests confirmation of details by signing and returning via fax. It includes contact information for queries.

key_people:
Aparna Shrivastava
Paul Achlaanet
John Cryan
Kimberly Hammonds
Stuart Lewis
Sylvie Manorat
Gash Ritchie
Karl von Rot
Mous Schanck
Chison Sewing
Womer Remmidler
Jedrey Unin

key_locations:
London
Germany
United Kingdom

document_subtype: confirmation letter

key_organizations: PRIVATE CLIENT SERVICES PWM ALEX BROWN AC SOUTHERN FINANCIAL LLC


document_description: This document is a confirmation letter for a currency option transaction between Deutsche Bank AG, London Branch and Private Client Services PWM Alex Brown AC Southern Financial LLC. It outlines the terms and conditions of the transaction, referencing the 1998 FX and Currency Option Definitions and the ISDA Master Agreement. The document specifies that the governing law is English law and the termination currency is U.S. Dollars.

key_people:
Paul Achlodner
John Crya
Kembly Hommanda
Sylvie Mehra
Gash Ritchie
Kan Rons
Marcus Schenck
Chessian Sewing
Wemer Steinmuller
Jeffrey Uni

key_locations:
London, United Kingdom
Baltimore, Maryland, United States


document_description: This document is a confirmation of a currency option transaction between Party A and Party B. The transaction involves a European style EUR Put/USD Call option with a put currency amount of EUR 10,000,000.00 and a call currency amount of USD 11,800,000.00. The trade date is May 15, 2018, with an expiration date of June 14, 2018, and a settlement date of June 18, 2018. The strike price is USD 1.180000 per EUR 1.00, and the premium is USD 41,250.00, payable by Party B on May 17, 2018. The premium payment instructions are provided for Deutsche Bank Trust Co Americas, New York.

key_people:
Paul Achlammer
John Cryan
Kimberly Harnmonds
Stuart Lanis
Sybie Maderer
Gath Richie
Kat von Rone
Marcus Schenck
Christian Sewing
Wiemer Grenmiller
Jeffrey Urwin


document_description: A bank confirmation letter from Deutsche Bank AG, London Branch, signed by Aparna Shrivastava, confirming details related to Private Client Services PWM Alex Brown AC Southern Financial LLC. The document requests a signed return for confirmation and provides contact details for queries.

key_people:
Aparna Shrivastava
Jeffrey Epskin
Paul Achisher
John Cryan
mbsry Hammonds
Stuart Lowds
Sykie Mahara
Gath Richie
Karl von Ren
Marcus Schenck
Chassien Sewing
Wher Stunmaller
Jeffrey Liwn

document_subtype: bank confirmation


document_description: This document is a confirmation of the terms and conditions of a currency option transaction between Deutsche Bank AG, London Branch and PRIVATE CLIENT SERVICES PWM ALEX BROWN AC SOUTHERN FINANCIAL LLC. It references the 1998 FX and Currency Option Definitions and discusses the potential incorporation of an ISDA Master Agreement. The document outlines the governing law, termination currency, and payer representation.

title: Currency Option Transaction Confirmation between Deutsche Bank AG, London Branch and PRIVATE CLIENT SERVICES PWM ALEX BROWN AC SOUTHERN FINANCIAL LLC

key_people:
Paul Achleder
John Cryan
Kambsny Hammnads
Stuartowis
Sytre Mathers
Gath Ritchie
Kat von Rot
Marcus Schenck
Chrisian Sewing
Wemer Steinmaller
Jettrey Urwin

key_locations:
London
Frankfurt am Main


document_description: This document is a confirmation of a currency option transaction between Party A and Party B. The transaction involves a EUR Put/USD Call with specific terms including trade date, expiration date, and settlement date. It includes representations from both parties regarding non-reliance and understanding of the transaction terms.

key_people:
Paul Achleitner
John Cryan
Kimberly Hammond
Stuart Lewis
Sylvia Mahener
Geth Riche
Rado von Rohr
Marcus Schienck
Christian Sewing
Werner Stelmüller
Jeffrey Uwin

key_locations:
Frankfurt am Main
London


document_description: A confirmation letter from Deutsche Bank AG, London Branch, signed by Aparna Shrivastava and Jeffrey Epstein, regarding a financial transaction or agreement. The letter includes contact information for queries and instructions for returning the signed confirmation.

key_people:
Aparna Shrivastava
Jeffrey Epstein
Paul Achleitner
John Cryan
Kimberly Hammonds
Stuart Lewis
Sylvie Matherat
Garth Ritchie
Karl von Rohr
Marcus Schenck
Christian Sewing
Werner Steinmüller
Jeffrey Urwin


document_description: Invitation to the Frieze London & Frieze Masters exhibition preview hosted by Deutsche Bank Wealth Management, featuring women artists from the Deutsche Bank Collection.

title: Frieze Preview Day Invitation

key_people:
Fabrizio Campelli
Tracey Emin
Sarah Rafferty

key_locations: Deutsche Bank Lounge for Frieze Masters Fair

document_subtype: invitation

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Collection


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and privileged nature of the information. It advises unintended recipients to notify the sender and destroy the communication. It also includes a disclaimer that Deutsche Bank does not provide legal or tax advice and refers to a link for additional EU corporate and regulatory disclosures.

document_type: other


document_description: This document contains SEC Rule 506(d) disclosure statements for AGP LP 519 Alpha Group Capital and ALKEON GROWTH PW PARTNERS, LP. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

title: SEC Rule 506(d) Disclosure Statements

document_subtype: disclosure statement

key_organizations:
AGP LP 519 Alpha Group Capital
ALKEON GROWTH PW PARTNERS, LP


document_description: A letter from Alkeon Capital Management, LLC to an investor regarding disclosures related to their investment in Alkeon Growth PW Partners, LP, as required by SEC Rule 506(d).

key_locations: 350 Madison Avenue, New York, New York 10017

document_subtype: letter

key_organizations:
Alkeon Capital Management, LLC
Alkeon Growth PW Partners, LP


document_description: The document is an annex detailing the absence of disqualifying events for ACM, Alkeon Capital Advisers, LLC, Alkeon Capital Offshore, LLC, and other connected persons. It outlines the lack of criminal convictions, injunctions, and final regulatory actions against these entities or individuals in relation to securities and financial regulations.

document_subtype: disclosure

key_organizations:
ACM
Alkeon Capital Advisers, LLC
Alkeon Capital Offshore, LLC
Securities and Exchange Commission


document_description: The document outlines restrictions and orders related to Covered Persons under SEC regulations. It details conditions under which a Covered Person is barred from association with regulated entities, engaging in securities, insurance, or banking, and participating in savings or credit union activities. It also covers SEC disciplinary orders and cease-and-desist orders related to fraudulent, manipulative, or deceptive conduct.

document_subtype: SEC Orders and Regulations

key_organizations:
SEC
Securities Exchange Act of 1934
Investment Advisers Act of 1940


document_description: The document states that no Covered Person has been suspended or expelled from securities organizations, involved in certain SEC stop orders, or subject to US Postal Service false representation orders in the last five years.

document_subtype: legal disclosure

key_organizations:
AGP LP
Alpha Group


document_description: The document outlines disciplinary actions and settlements involving UBS Financial Services Inc. related to various allegations, including unsuitable sales of Lehman Structured Products, violations in municipal reinvestment and derivatives, and issues with Auction Rate Securities and fee-based brokerage accounts.

title: UBS Financial Services Inc. Disciplinary History

key_locations:
New Hampshire
New York

document_subtype: Disclosure Statement

key_organizations: New Hampshire Bureau of Securities Regulation

key_organizations: North American Securities Administrators Association


document_description: This document provides a disciplinary history for various financial entities and individuals, detailing actions taken by state authorities for violations of financial regulations. It includes fines, penalties, and other dispositions for entities like UBS Financial Services and individual financial advisors.

title: UR& ES Disciplinary History for Third Party Funds - Distribution Platform

key_locations:
Illinois
New York
Ohio
Nevada
Washington D.C.

document_subtype: disciplinary history

key_organizations: Secretary of State of 47 States and Washington D.C.

key_organizations: State of New York Department of Insurance


document_description: This letter from Deutsche Asset & Wealth Management to Alkeon Capital Management, LLC documents representations and warranties in light of amendments to Rule 506 of Regulation D under the Securities Act of 1933, effective September 23, 2013. It assures that neither Deutsche Asset & Wealth Management nor any Agent Covered Person is subject to a Disqualifying Event that would disqualify the Fund from relying on the exemption from registration provided by Rule 506.

key_locations: 60 Wall Street, New York, New York 10005

key_locations: 350 Madison Avenue, 9th Floor, New York, New York 10017

key_organizations:
Deutsche Asset & Wealth Management
Alkeon Capital Management, LLC
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Alkeon Growth PW Partners LP
Alkeon Growth Offshore Fund Ltd
ACAP Strategic Fund


document_description: Deutsche Asset & Wealth Management authorizes the Funds to include descriptions of Disqualifying Events in offering materials, with prior approval. They commit to preventing any Agent Covered Person with a Disqualifying Event from participating in the Offering and agree to notify the Funds if any provided information changes.

title: Execution Authorization for Deutsche Asset & Wealth Management

key_people:
William D. Seuling
BROWN PAC
Olive Esslinger
REUBEN PEREZ
Kelvin Doe

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas


document_description: Deutsche Bank Securities Inc. (DBSI) reached a settlement agreement with various regulatory bodies, including the SEC, NASD, NYSE, and the New York Attorney General, related to investigations into research analyst independence. DBSI agreed to pay $87.5 million as part of the settlement.

document_subtype: settlement agreement

key_organizations: National Association of Securities Dealers


document_description: A letter from Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. confirming their compliance with Rule 506(d) of Regulation D under the Securities Act of 1933, as amended. The letter assures the issuer that the solicitors are unaware of any disqualifying events that would affect their participation in offerings, as specified in the Bad Actor Provisions.

title: Disclosures by Compensated Solicitors Under Rule 506(d) of Regulation D under the Securities Act of 1933

key_organizations:
Raymond James & Associates, Inc.
Raymond James Financial Services, Inc.


document_description: The document outlines disqualifying events for Solicitors under Section 506(d)(iii)(B) related to violations of securities laws. Solicitors are seeking a waiver from the SEC and have settled with 40 states, Puerto Rico, the Virgin Islands, and the District of Columbia over allegations of failing to supervise and engaging in unethical practices related to auction rate securities (ARS). The document lists the completion dates of settlements with various states.

key_locations:
Florida
Texas
Indiana
Nevada
Puerto Rico
South Carolina
Alabama
South Dakota
New Jersey
Vermont
Rhode Island
Montana
Tennessee
North Dakota
Idaho
New Mexico
Wyoming

key_organizations:
Alpha Group Capital
SEC


document_description: The document contains a table listing various U.S. states and territories along with corresponding dates. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document outlines legal actions and settlements involving Merrill Lynch related to the sale of auction rate securities (ARS) and ARS collateralized debt obligations (CDOs). The Massachusetts Securities Division alleged violations of the Massachusetts Uniform Securities Act by Merrill Lynch in the sale of ARS CDOs to the city of Springfield, Massachusetts. Merrill Lynch agreed to buy back the ARS CDOs at par value and to cease and desist from further violations. Additionally, Merrill Lynch entered into consent orders with various state securities regulators to address allegations related to the marketing and sale of ARS to retail and other customers. The settlements included buybacks, civil penalties, and measures to provide liquidity to investors.


document_description: The document discusses the ineligibility of AGP LP 519 Alpha Group Capital and Paul Barrett to participate in the ARS buyback under a settlement agreement. It also mentions Merrill Lynch's control affiliate BAS entering into similar consent orders with state securities regulators.


document_description: The document outlines various legal actions and findings by the SEC against financial institutions including BANA, BOAMS, Merrill, and BAS for violations of securities laws. It details allegations of misrepresentation and failure to disclose important information related to mortgage-backed securities, improper bidding practices, and misuse of confidential information. The document also mentions penalties and orders issued by the SEC, including cease-and-desist orders, monetary penalties, and censure.


document_description: The Massachusetts Securities Division alleged violations of the Massachusetts Uniform Securities Act by Merrill in the sale of auction rate securities to the City of Springfield. Merrill agreed to cease and desist from violations, entered into consent orders with state regulators, and undertook measures to provide liquidity to investors, including buying back securities and participating in arbitration for damages claims.


document_description: A final judgment was entered against Stifel, Nicolaus & Company, Inc. by the U.S. District Court for the Eastern District of Wisconsin, resolving a civil lawsuit filed by the SEC in 2011. The lawsuit involved violations of antifraud provisions related to the sale of synthetic CDOs to Wisconsin school districts. Stifel is required to cease violations of certain Securities Act sections, pay disgorgement and penalties, and distribute funds to affected school districts. The SEC granted waivers and exemptions to Stifel and its affiliates from certain disqualification provisions.


document_description: Stifel, Nicolaus & Company, Incorporated consented to an SEC order for violations of antifraud provisions related to municipal securities underwriting. Stifel agreed to cease violations, pay a $500,000 penalty, and retain a compliance consultant. The SEC granted a waiver from disqualification provisions.


document_description: This document is the amended and restated limited partnership agreement for Alkeon Growth PW Partners, LP, effective as of June 1, 2016. It outlines the formation, purpose, and operational details of the partnership, including the roles of the general and limited partners, the partnership's registered office, fiscal year, and liability provisions.


document_description: This document outlines the terms and conditions for the assignment and admission of partners in a limited partnership, AGP LP 519 Alpha Group Capital. It details the process for admitting new limited and general partners, the series of limited partnership interests available, and the management structure of the partnership. The General Partner has significant discretion in managing the partnership and admitting new partners, with specific provisions for different series of partnership interests based on management fees and withdrawal rights.


document_description: The document outlines the powers and responsibilities of the General Partner in managing the partnership's investments and financial activities. It details the various financial instruments and strategies the General Partner is authorized to engage in, including securities trading, options, commodities, currencies, and investment in other funds. The document also mentions the retention of Alkeon Capital Management, LLC as the investment manager and the ability to invest in other investment companies.


document_description: This document is a section of a partnership agreement for AGP LP 519 Alpha Group Capital, detailing the limitation of liability and indemnification clauses for the General Partner, Investment Manager, and other designated persons. It outlines the conditions under which these parties are not liable for losses, except in cases of gross negligence or willful misconduct. The document also covers the indemnification process and the expenses that the partnership is authorized to incur, including legal, audit, and management fees.


document_description: The document outlines the financial structure and management of AGP LP 519 Alpha Group Capital, including details on Master Fund Expenses, Management Fees, and Capital Accounts. It specifies the responsibilities of the General Partner and Investment Manager, and the terms for capital contributions and adjustments.


document_description: The document outlines the allocation of net profits and losses for AGP LP 519 Alpha Group Capital, detailing how these are distributed among partners' capital accounts. It specifies the conditions under which profits are reallocated to the General Partner and how net profits and losses are determined using accounting principles. The document also addresses the treatment of 'New Issues' and the process for reallocating profits when a partner withdraws capital or retires.


document_description: The document outlines the valuation procedures for securities held by AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It details how domestic and foreign securities, debt securities, and options are valued based on market prices, bid/ask prices, or fair value determined by the Investment Manager or a valuation committee. It also covers the conversion of foreign currencies to U.S. dollars and the discretion of the General Partner to adjust valuations if deemed inaccurate.


document_description: The document outlines the terms and conditions for the dissolution and winding up of a partnership, including the conditions under which the partnership may be dissolved, the procedure for winding up, and the distribution of assets. It specifies that the partnership will continue until December 31, 2035, unless dissolved earlier by the General Partner. The document also details the order of priority for the payment of debts and distribution of remaining capital accounts upon dissolution.


document_description: This document outlines the miscellaneous provisions of a partnership agreement for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It includes sections on withholding taxes, maintaining and auditing books of account, reporting to partners, amending the agreement, and the process for giving notices. The agreement is binding on successors and can be executed in multiple counterparts.


document_description: This document is a partnership agreement involving AGP LP 519 Alpha Group Capital and Paul Barrett. It includes sections for signatures from the General Partner, Alkeon Capital Advisers, LLC, and Limited Partners, though many fields are left empty. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document outlines the collateral delivery requirements and risk management strategies for the Master Fund managed by Alkeon Capital Management, LLC. It discusses the collateral arrangements with trading counterparties and brokers, the role of the Investment Manager, and the risk management principles applied at both holding and portfolio levels.


document_description: The document outlines the investment management practices of AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It discusses the use of leverage, risk management, and the role of Credit Suisse as a prime broker and custodian for the Master Fund. The document also details the legal and regulatory framework governing the custody and use of the Master Fund's assets by Credit Suisse.


document_description: The document is an amendment to the Limited Partnership Agreement of AGP LP 519 Alpha Group Capital, detailing updates on asset valuation and prime broker risks. It includes a new paragraph on asset valuation and additional risk factors related to prime broker insolvency and rights to asset returns.


document_description: The document discusses the risks and legal considerations associated with the Master Fund's securities held by Prime Brokers, including potential insolvency, the use of omnibus accounts, and systemic risks. It also addresses conflicts of interest related to Prime Brokers and the Investment Manager's participation in capital introduction events. Additionally, it mentions an amendment to the Limited Partnership Agreement regarding reports to partners.


document_description: The document is an annual report prepared pursuant to Article 22 of the AIFM Directive for the financial year ending December 31, 2015. It includes legal implications of investment in the partnership, highlighting the limited liability of Limited Partners and the lack of direct rights against service providers. It also discusses the recognition of foreign judgments in U.S. courts under the Judgments Recognition Act. Additionally, it outlines the periodic disclosures required under the AIFM Directive, including reporting on illiquid assets.


document_description: The document outlines the management and risk profile of the Alpha Group Capital Partnership and Master Fund. It details the liquidity management systems, risk management systems, and leverage employed by the fund. It also mentions the conditions under which special arrangements like gates or side pockets are activated and the communication of changes to collateral re-use or guarantees.


document_description: This document is a presentation titled 'CIO Strategies' by Deutsche Asset & Wealth Management, focusing on globally diversified multi-asset class portfolios for the first quarter of 2015. It includes a stylized logo with a 3D square frame and diagonal slash, and is intended for one-on-one presentations to qualified investors only. The document is marked confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document outlines the structure and function of the Multi-Asset Investment Committee (MIC) in developing the global house view for Deutsche Asset & Wealth Management. It includes contributing groups, discussion outputs, and the final house view components.


document_description: The document outlines Deutsche Asset & Wealth Management's proprietary asset allocation process, which is forward-looking, quantitative and qualitative, active, and client-specific. It emphasizes the use of alternative assets for potentially higher returns at lower risk, subject to regulatory requirements for qualified purchasers and accredited investors.


document_description: The document outlines proposed strategic and tactical asset allocations for taxable clients where hedge funds are suitable. It includes allocations for different investment strategies: Income, Growth & Income, Growth, and Maximum Growth. The allocations are formulated by the Regional Investment Committee within Wealth Management and are subject to change. The document emphasizes that these allocations are for informational purposes and not an offer or solicitation.


document_description: The document appears to be related to a legal matter, possibly involving the performance of CIO Strategies. It is marked as confidential and is subject to Federal Rule of Criminal Procedure 6(e), indicating it may be part of a grand jury proceeding.


document_description: The document provides a performance summary of the Growth & Income Strategy for taxable clients as of March 31, 2015. It includes annualized returns for various periods compared to a blended benchmark, as well as yearly performance from 2005 to 2014. The returns are gross of fees and reflect model returns, not actual client returns. The document emphasizes that past performance is not indicative of future results and notes that the returns do not include Deutsche Bank management fees.


document_description: The document presents a performance analysis of two investment strategies, 'CIO Strategies w/ U.S. Core Equity as U.S. Large Cap Vehicle' and 'Blended Benchmark', over various time periods ending on 3/31/15. It includes annualized performance data gross of fees for different time frames and specific yearly returns from 2005 to 2014. The document notes that the returns are model-based and do not reflect actual client returns or Deutsche Bank management fees. It is intended for taxable clients where hedge funds are suitable.


document_description: The document outlines asset allocations formulated by the Regional Investment Committee within Wealth Management, detailing various asset classes and investment strategies. It emphasizes that the results presented are model returns and not actual trading results, and discusses the limitations of model results. The document also provides a standard fee schedule and a table of blended benchmarks for different asset classes.


document_description: The document outlines the fee schedule for investment management services, with fees based on assets under management appraised monthly. Fees are billed monthly in arrears and calculated at one-twelfth of the annual fee rates. The schedule includes different rates for various asset tiers and specifies a minimum fee per relationship and an account minimum.


document_description: Biography of Larry V. Adam, Chief Investment Officer and Chief Investment Strategist for the Wealth Management division of Deutsche Asset & Wealth Management in the Americas. Details his roles, responsibilities, and previous positions.


document_description: Biography of Owen Fitzpatrick, Managing Director and Head of U.S. Equity at Deutsche Asset & Wealth Management.


document_description: Biography of Gary R. Pollack, Managing Director and Head of Private Clients Fixed Income Desk at Deutsche Asset & Wealth Management.


document_description: Biography of Michael J. Driscoll, a Director and Portfolio Consultant at Deutsche Asset & Wealth Management in New York. He has over 15 years of experience in various roles within Wealth Management and holds degrees in civil engineering and finance.


document_description: Biography of Derek Javarone, an Assistant Vice President and Portfolio Analyst at Deutsche Asset & Wealth Management in New York. He supports investment management for ultra-high-net-worth individuals, trusts, and foundations, with eight years of experience in the financial services industry. He holds an A.B. in sociology from Princeton University.


document_description: The document provides a detailed description of various financial indices used in blended benchmarks for Composite and Model returns. These indices are used for comparative purposes and include the S&P 500 Index, Russell 2000 Index, MSCI Europe Index, MSCI Japan Index, MSCI Pacific Free ex-Japan Index, MSCI EM Index, Barclays Municipal Short/Intermediate Index, 50/50 Barclays G.O./MMDI AAA 5-Year Blend, Barclays G/C Intermediate Index, and Merrill Lynch High Yield Master II Index. Each index is described in terms of its composition, weighting, and criteria for inclusion.


document_description: The document provides information on the risks and considerations associated with investing in mutual funds, money market funds, small cap and international funds, and hedge funds. It highlights the potential for value fluctuations, lack of insurance or guarantees, and various fees and expenses. It also discusses the risks specific to different types of funds, such as credit quality changes, redemption pressures, and international economic instability. Additionally, it mentions potential conflicts of interest for Deutsche Bank in recommending certain funds.


document_description: The document provides an overview of various investment products and their associated risks. It covers bond funds, exchange traded products, high yield fixed income securities, real estate investments, commodities, and funds. Each section outlines the specific risks and considerations investors should be aware of, such as market risk, credit risk, interest rate changes, and management fees. The document also mentions specific indices like the Citigroup Unhedged Non-US World Government Bond Index and the Barclays U.S. Tips index.


document_description: This document is a disclaimer from Deutsche Bank AG, stating that the information provided is for informational purposes only and not an offer or solicitation for any financial transaction. It emphasizes the need for independent evaluation of the merits and risks of any financial products or services mentioned. The document also clarifies that Deutsche Bank does not provide legal, tax, or accounting advice and that investment ideas presented are subject to risk, including potential loss of principal.


document_description: This document provides disclosure information for Alkeon Growth PW Farmers, L.P. as required by the AIFM Directive. It includes details on leverage levels, net asset value, historical performance, and liquidity management as of July 1, 2016.


document_description: The document is an investment report from Alkeon Capital Management for Alkeon Growth Partners, LP, detailing the performance of the fund in September 2017. The report highlights a 0.47% return for the month, with positive performance in the US and Asia, and negative in Europe. It discusses the fund's strategy, exposure, and the market environment, emphasizing the potential for stock-picking opportunities and the undervaluation of high-quality growth sectors like technology and healthcare.


document_description: The document provides historical performance data for equity investments, highlighting seasonality trends and portfolio performance metrics. It includes two tables: one showing median MSCI US performance by month since 1970, and another comparing annual performance of AGP, MSCI World, and S&P from 2003 to September 2017. The document emphasizes the portfolio's forward EV/EBITDA multiple discount and its potential to widen by year-end.


document_description: The document provides performance data and portfolio information for Alkeon Asia Growth and MS Alkeon UCITS Fund as of September 2017. It includes performance metrics such as monthly, annual, and since inception returns, as well as portfolio exposure and position details. The document highlights positive performance in technology and industrials for Alkeon Asia Growth, and in technology and financials for MS Alkeon UCITS Fund, with underperformance in consumer staples and real estate respectively. It also discusses valuation perspectives and growth opportunities in various sectors.


document_description: The document is a financial correspondence from Alkeon Capital Management discussing the performance data of various investment vehicles, including Alkeon Growth Partners, LP (AGP) and other funds managed by Alkeon. It provides details on management fees, performance measurement, and comparisons to indices like the MSCI World Index. The document emphasizes the speculative nature of investments in Alkeon Funds and the risks involved, including potential loss of investment. It also includes disclaimers about the accuracy of the information and the non-fiduciary nature of the advice provided.


document_description: This document provides legal disclaimers and notices to investors in various countries regarding the Alkeon Growth Offshore Fund, Ltd (AGO). It outlines the lack of assurance on investment returns, the illustrative nature of references to specific companies or securities, and the forward-looking nature of certain statements. It also includes specific legal notices for investors in Switzerland, Hong Kong, Korea, Singapore, and the United Kingdom, detailing the legal restrictions and conditions under which the fund's materials can be distributed and the fund's shares can be offered.


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It emphasizes the importance of independent assessment of transactions, highlights the risks associated with securities, and clarifies that past performance does not guarantee future results. The document also states that the securities are not insured by the FDIC and are subject to investment risks. It mentions potential compensation arrangements and clarifies that Deutsche Bank does not provide accounting, tax, or legal advice.


document_description: Alkeon Capital Management is an SEC Registered Investment Adviser with approximately $6.5 billion in assets under management as of September 2017. The firm employs a deep-research, fundamentally-driven approach to investing, focusing on long investments in high-quality equities globally and short investments in low-quality businesses. The portfolio management team is led by Takis Sparaggis, who has been managing hedge fund strategies since 1994. Alkeon's key objective is to generate profits on both the long and short sides of the portfolio over a full investment cycle, with their flagship strategy providing significant returns compared to the MSCI World index. The firm has a global focus with offices in New York, Boston, and Hong Kong.


document_description: The document outlines Alkeon Capital Management's investment strategy, focusing on long and short investments, growth philosophy, and global mandate. It emphasizes long positions in growth companies with strong fundamentals and short positions in low-quality businesses. The strategy aims to identify growth cycles independent of economic cycles and maintain an active short investment book. The global mandate includes pursuing growth opportunities in emerging markets.


document_description: The document outlines the investment approach of AGP LP 519 Alpha Group Capital, led by Paul Barrett, focusing on deep domain expertise. It highlights a research-intensive approach to investing, executive-level understanding of industry dynamics, extensive communication with industry leaders, detailed data analysis, and an ownership perspective in business analysis.


document_description: The document outlines the risk management strategies of AGP LP 519 Alpha Group Capital, emphasizing strong business and compliance infrastructure, prudent use of leverage, strong liquidity, high diversification, and investment in businesses with healthy cash positions. It distinguishes between volatility and risk, aiming to take advantage of volatility rather than actively manage it.


document_description: The document outlines a disciplined approach to portfolio construction by AGP LP 519 Alpha Group Capital, led by Paul Barrett. It includes a flowchart of stock portfolio development, starting from a stock universe and involving inputs from research analysts, public filings, company executives, industry leaders, and quantitative filters. The process involves analytical modeling and risk management, resulting in a portfolio output.


document_description: This document provides an example of portfolio construction for Alkeon Growth Strategy, detailing the universe strategy, market capitalization, sectors, net and gross exposure ranges, position costs, number of positions, and underlying instruments.


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital, highlighting strong excess returns on both long and short portfolios compared to equity indices from January 2001 to September 2017. The report includes cumulative returns for AGS and benchmark indices like MSCI World and MSCI AC World, showing significant outperformance by AGS.


document_description: The document provides a performance report of Alpha Group Capital's stock selection strategy, highlighting its annualized alpha generation since inception compared to MSCI indices. It includes a table with alpha values and Sortino Ratios, emphasizing superior stock selection as a driver of excess returns.


document_description: The document provides a performance report for AGP LP 519 Alpha Group Capital from January 1998 to December 2016, highlighting strong performance in difficult markets. It includes two-year cumulative returns for the Alkeon Growth Strategy compared to MSCI World and MSCI AC World indices. The report notes that AGS had only one losing two-year period (2001-2002) and emphasizes strong alpha generation over two-year periods.


document_description: The document provides an overview of the monthly updates available on Alkeon's website for AGS, including Measurisk® reporting, weekly performance estimates, liquidity and geographic profiles, historical performance attribution, and gross and net exposure. It also mentions the availability of monthly and quarterly investor letters and highlights the experienced client servicing team at Alkeon Capital Management.


document_description: The document outlines the trade execution and business continuity strategies of AGP LP 519 Alpha Group Capital, led by Paul Barrett. It includes details on global trading, trading systems, networks, team expertise, disaster recovery, and best practices.


document_description: The document provides information about the Alkeon Fundamental Analyst Team, listing team members along with their previous work experience and educational background.


document_description: The document provides a detailed financial report on the Alkeon Growth Offshore Fund, Ltd., including gross and net exposure data from January 2003 to January 2017, as well as monthly and year-to-date net performance figures. The report includes a table of performance data compared to MSCI World and MSCI AC World indices, highlighting fluctuations in exposure and performance over the years. The document emphasizes that past performance is not indicative of future results and includes a disclaimer about fees and expenses.


document_description: The document provides a breakdown of the liquidity and gross exposure by country for the Alkeon Growth Offshore Fund, Ltd. as of September 2017. It includes data on liquidity buckets and country exposures, highlighting the percentage of equity and gross exposure by country of stock listing. The report is based on holdings of the Alkeon Growth Master Fund, Ltd. and includes a disclaimer about future allocations.


document_description: The document outlines the terms for two investment funds managed by Alkeon Capital Management, LLC: Alkeon Growth PW Partners, LP and Alkeon Growth Offshore Fund, Ltd. It includes details on investment managers, strategy and fund launch dates, portfolio and risk managers, minimum investment amounts, management and incentive fees, lockup periods, liquidity, redemption fees, notice periods, auditors, prime brokers, and administrators.


document_description: This document is a glossary of financial terms related to fund performance and market exposure, sourced from Hedgetund.net and Morgan Stanley Prime Brokerage. It includes definitions and explanations of terms such as Alpha, Beta, Annualized Alpha Generation, Compounded Monthly Return, Delta and Delta Adjusted Exposure, Gross Exposure, Liquidity Bucket, Market Capitalization, Net Exposure, Downside Deviation, Sortino Ratio, and Sharpe Ratio.


document_description: The document outlines the risk considerations for investing in Alkeon Growth PW Partners, LP and Alkeon Growth Offshore Fund, Ltd. It highlights the speculative nature of the investment program, the use of leverage, active trading, short sales, and derivative instruments, and the associated substantial risks. The document emphasizes that the fund is not a mutual fund and is subject to high fees, which reduce profits. It also discusses the risks of investing in equity securities, foreign issuers, and companies in emerging markets.


document_description: This document is a disclaimer from Alkeon Capital Management, LLC regarding the confidentiality and restrictions on distribution of the information contained within. It outlines the performance results and management history of the Alkeon Growth Strategy and associated funds, emphasizing that past performance is not indicative of future results. The document also highlights the illiquid nature of investments in Alkeon funds and the lack of assurance on investment returns.


document_description: This document contains disclaimers related to Alkeon Capital Management's investment processes and performance comparisons. It emphasizes that references to specific companies or securities are illustrative and not recommendations. It discusses the use of indices for performance evaluation, sources of information, proprietary rights, and the nature of forward-looking statements. It clarifies that the document is not an investment offer and has not been reviewed by regulatory bodies.


document_description: This document contains disclaimers and notices for investors in Hong Kong, Switzerland, the United Kingdom, Singapore, and Korea regarding the offering and sale of interests or securities by AGP LP 519 Alpha Group Capital and Alkeon Capital Management. It specifies the legal restrictions and conditions under which these securities can be offered in each jurisdiction, emphasizing that the document is not a prospectus and has not been approved by relevant financial authorities.


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It outlines the nature of the information provided, the risks involved in transactions, and the lack of guarantees on securities performance. It also clarifies that Deutsche Bank does not provide accounting, tax, or legal advice and authorizes the disclosure of transaction structure and tax aspects.


document_description: This document is a confidential private offering memorandum for limited partnership interests in Alkeon Growth PW Partners, LP, a Delaware limited partnership. It is intended solely for the recipient's consideration of an investment and is not to be reproduced or shared without prior written consent from Alkeon Capital Advisers, LLC.


document_description: This document is an investment memorandum for AGP LP 519 Alpha Group Capital, outlining the terms and conditions of an investment offering. The interests offered are not registered under the Securities Act of 1933 and are intended for a limited number of qualified investors. The document emphasizes that the offering is exempt from registration under Regulation D and has not been approved by the SEC or any state securities commission. It includes forward-looking statements and highlights the risks involved, advising investors to rely on their own examination and consult legal and tax advisors. The memorandum is confidential and not to be construed as legal or tax advice.


document_description: This document is a table of contents for a legal or financial document related to AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It outlines various sections including investment objectives, management structure, fees, risk factors, and legal provisions.


document_description: The document is a summary of the Confidential Private Offering Memorandum for Alkeon Growth PW Partners, LP, a Delaware limited partnership designed for sophisticated investors. The partnership invests through a master-feeder fund structure in Alkeon Growth Master Fund, Ltd., a Cayman Islands exempted company. The general partner is Alkeon Capital Advisers, LLC, and the investment manager is Alkeon Capital Management, LLC. The investment objective is to achieve capital appreciation by investing in long and short positions in publicly-traded and private companies globally.


document_description: The document outlines the risk factors, management fee structure, incentive allocation, and expenses related to investing in AGP LP 519 Alpha Group Capital. It highlights the significant risks involved, management fees based on capital accounts, incentive allocations to the General Partner, and various expenses incurred by the Partnership.


document_description: The document outlines the offering of limited partnership interests by AGP LP 519 Alpha Group Capital to qualified investors. It details the conditions for admission as a Limited Partner, withdrawal terms, reporting, regulatory matters, and tax considerations. The partnership is not open to the general public and is not registered under the Investment Company Act.


document_description: The document is a Confidential Private Offering Memorandum for Alkeon Growth PW Partners, LP, a Delaware limited partnership. The partnership is formed to invest its assets according to its investment objectives and operates under a master-feeder fund structure. Alkeon Capital Advisers, LLC is the general partner, and Alkeon Capital Management, LLC is the investment manager. The memorandum outlines the investment objectives, operations, and terms of the partnership agreement, inviting prospective limited partners to review and inquire further.


document_description: The document outlines the investment objective and strategy of AGP LP 519 Alpha Group Capital, managed by Paul Barrett. The primary goal is capital appreciation through long and short positions in global publicly-traded and private companies, with a focus on technology stocks. The strategy involves a bottom-up, research-intensive approach, investing in companies with strong fundamentals and shorting those with weaker fundamentals. The portfolio includes equity securities, debt securities, and derivatives, with potential use of leverage. Up to 20% of assets may be invested in other funds, including those managed by affiliates. The investment strategy is flexible and may change without partner consent.


document_description: The document outlines the financial structure and expense allocation for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It details the expenses that the Investment Manager is authorized to incur on behalf of the Partnership, including legal, audit, and management fees. The document also explains the allocation of net profits and losses among partners, including an Incentive Allocation of 20% of net profits to the General Partner, subject to certain conditions.


document_description: The document outlines provisions in the Partnership Agreement of AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It includes a loss carryforward provision, rules for purchasing new issues under FINRA regulations, and allocation of prior fiscal period items. The document also highlights risk factors associated with the partnership, emphasizing its speculative nature and the broad discretion of the Investment Manager in making investments.


document_description: The document outlines the investment strategy and risks associated with the AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It highlights the partnership's investment flexibility, focus on technology and growth company securities, and potential lack of diversification. The document emphasizes the risks involved in investing in technology companies and growth companies, including volatility, lack of dividends, and sector concentration risks.


document_description: The document outlines the risks and considerations associated with investing in non-U.S. securities, emerging markets, currency risks, and short sales. It highlights the potential challenges such as exchange rate fluctuations, political instability, and less regulatory oversight in non-U.S. markets. The document also discusses the heightened risks in emerging markets, including nationalization, economic uncertainty, and less developed financial systems. Additionally, it addresses the risks of currency fluctuations and the potential for significant losses in short sales.


document_description: The document outlines the risks associated with short selling, leverage, and options trading for AGP LP 519 Alpha Group Capital. It discusses regulatory restrictions on short sales, challenges faced by short-sellers, and the potential legal actions against them. The document also highlights the risks of using leverage, including increased risk of loss, volatility, and the impact of margin calls. Additionally, it covers the risks involved in options trading, including the potential for unlimited loss when selling options and the counterparty solvency risk in OTC options. Currency options are also discussed, emphasizing the substantial currency risk and other associated risks.


document_description: The document discusses the risks and regulatory impacts associated with derivatives and futures contracts for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It highlights the volatility and leverage risks of derivatives and futures, the impact of regulations like the Dodd-Frank Act and EMIR on compliance costs, and the potential for increased fees and less favorable conditions due to these regulations. It also covers the specialized nature and risks of futures trading, including market volatility, transaction costs, and the potential for substantial losses.


document_description: The document outlines the investment strategies and associated risks for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It discusses potential losses in the event of bankruptcy or insolvency of exchanges or clearinghouses, and the use of Exchange Traded Funds (ETFs) to manage market exposure and risk. The document also covers investments in fixed-income securities, small and mid-cap stocks, and special situations such as acquisitions and reorganizations. It highlights the risks and expenses involved in these investment strategies.


document_description: The document outlines various risks associated with the investment strategy of AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It discusses the potential for loss in transactions involving financially troubled companies, lack of liquidity in partnership assets, active management risks, valuation challenges, and counterparty risks. The document emphasizes the uncertainties and potential financial impacts on limited partners due to these risks.


document_description: The document outlines the risks and conditions associated with the custody of assets and partnership agreements for AGP LP 519 Alpha Group Capital. It discusses the potential risks involved with custodians and prime brokers, including the possibility of bankruptcy or insolvency, and the implications for the partnership's assets. It also details the possibility of alternative arrangements with limited partners, which may include different terms and conditions, and limited withdrawal and transfer rights for limited partners.


document_description: The document discusses the evolving regulatory environment for hedge funds, particularly focusing on the impact of the Dodd-Frank Act on OTC derivatives markets. It highlights potential adverse effects on hedge funds due to legal, tax, and regulatory changes, including increased compliance costs and restrictions on trading strategies. The document also outlines the requirements for OTC derivatives to be executed on regulated markets and the implications for hedge funds and their investment strategies.


document_description: The document outlines the operational and financial guidelines for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It discusses the allocation of portfolio transactions and expenses between the Partnership and other clients, emphasizing fairness and equity. It also addresses potential conflicts of interest and the impact of disasters, business continuity, and cyber-security risks on the Partnership's operations.


document_description: The document outlines the terms related to sales charges, fees, and withdrawal rights for Limited Partners in a limited partnership. Financial advisors may charge a sales fee up to 3% of a Limited Partner's investment, subject to FINRA regulations. Withdrawal terms vary by series of interests, with specific notice requirements and conditions for capital account withdrawals. The General Partner has discretion over certain withdrawal conditions and may require mandatory withdrawals with notice.


document_description: This document outlines the provisions related to the death, bankruptcy, or incapacity of a partner in AGP LP 519 Alpha Group Capital. It details the rights of the estate or legal representative of a deceased, bankrupt, or incapacitated partner, including the succession to the partner's share in net profits or losses and the conditions under which they may be admitted as a Limited Partner. It also covers special withdrawal provisions in the event of Mr. Sparaggis's death or incapacity, payments on retirement, and the suspension of withdrawals under certain conditions.


document_description: The document outlines the practices of Alpha Group Capital's Investment Manager in selecting brokers and managing brokerage commissions. It discusses the use of software for trade analytics, order transmission, and settlement, as well as the allocation of costs for mixed-use products. The document highlights potential conflicts of interest in broker selection and the Investment Manager's affiliations with Breakwater Group Distribution Services, LLC. It also details the Partnership's custodial arrangements with prime brokers Morgan Stanley and Credit Suisse.


document_description: The document outlines the Administration Agreement between AGP LP 519 Alpha Group Capital and The Bank of New York Mellon, which acts as the Administrator. The Administrator is responsible for general administrative tasks, financial record-keeping, report distribution, net asset value determination, and anti-money laundering compliance. The agreement specifies the Administrator's liability, indemnification clauses, and conditions for assignment and termination. It is governed by New York State law. Additionally, the document touches on federal taxation, indicating the partnership is not a taxable entity, and each partner must account for their share of income, deductions, and losses.


document_description: The document outlines the tax implications and structure of a partnership agreement for AGP LP 519 Alpha Group Capital. It discusses the potential tax treatment under Section 7704 of the Internal Revenue Code, the master-feeder structure involving a Cayman Islands exempted company, and the allocation of taxable gains or losses. It also covers the classification of the Master Fund as a trader or investor, and the deductibility of expenses and interest for federal income tax purposes.


document_description: The document outlines the tax implications and considerations for Limited Partners in the AGP LP 519 Alpha Group Capital, particularly focusing on the treatment of income and losses, foreign taxes, short sales, Section 1256 contracts, PFIC provisions, leverage, and tax shelter regulations. It highlights the potential tax liabilities and reporting requirements for Limited Partners, including the treatment of foreign taxes, the impact of leverage on tax-exempt entities, and the obligations under the Tax Shelter Regulations.


document_description: The document outlines the tax compliance obligations and potential tax implications for the Master Fund and its partners under the Foreign Account Tax Compliance Act (FATCA) and the Bipartisan Budget Act of 2015. It also discusses the potential impact of New York State and local taxation on the Partnership and its partners.


document_description: The document provides tax advisory information for AGP LP 519 Alpha Group Capital and its partners, focusing on Cayman Islands and U.S. tax implications. It includes advice from Ogier regarding Cayman Islands taxation, indicating no taxes for the Partnership or its partners. It also includes advice from Seward & Kissel LLP on U.S. federal, New York State, and New York City tax matters, emphasizing the need for partners to consult their tax advisers. Special considerations for foreign investors and tax-exempt entities are also discussed.


document_description: The document outlines the U.S. Federal income tax implications for Foreign Partners in a partnership, specifically regarding capital gains, investments in U.S. real property interests, and the impact of the HIRE Act. It details the tax obligations and reporting requirements for Foreign Partners, including potential withholding taxes and the necessity of providing IRS Form W-8BEN. The document advises Foreign Partners to consult tax advisors for specific implications.


document_description: This document provides a summary of laws and regulations applicable to retirement plan investments, specifically focusing on the Employee Retirement Income Security Act of 1974 (ERISA) and related provisions. It outlines the conditions under which the Partnership's assets would not be considered plan assets subject to ERISA or Section 4975 of the Code, emphasizing the limitation of investments by Benefit Plan Investors. The document also discusses fiduciary responsibilities under ERISA and the Code, and the reporting requirements for ERISA Plans, including the filing of Form 5500 with the U.S. Department of Labor.


document_description: The document outlines provisions of a Limited Partnership Agreement for AGP LP 519 Alpha Group Capital, managed by General Partner Paul Barrett. Key sections include the term of the partnership, liability and indemnification of partners, amendment procedures, and conditions for dissolution. The partnership is set to continue until December 31, 2035, with liability protections for the General Partner and indemnification clauses. Amendments can be made by the General Partner or with consent from a majority of Limited Partners. The partnership may be dissolved by the General Partner or under specific conditions involving the General Partner's status.


document_description: This document is a brochure for Alkeon Capital Management, LLC, providing information about the firm's qualifications and business practices. It includes contact information and a disclaimer about the firm's registration status with the SEC. The brochure notes that there have been no material changes since the last update in 2015.


document_description: This document is a table of contents for a report or filing related to AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It outlines various sections including advisory business, fees, client types, investment strategies, and other financial and ethical practices.


document_description: Alkeon is a Delaware limited liability company providing portfolio management and subadvisory services to various investment funds. As of December 31, 2015, it managed approximately $3.566 billion in discretionary assets. Alkeon acts as an investment manager to both domestic and offshore funds, including Alkeon Growth Funds and Alkeon Select Funds, which are organized in a master-feeder structure. Key partnerships include Oppenheimer Asset Management Inc., ALPRO Funds Management Limited, MS Alkeon UCITs Fund, and SALI Fund Management, LLC.


document_description: The document provides information about Alkeon's investment management activities, including its role as an investment manager for various funds such as the Xanthus Fund, Global Growth Fund, and MS Alkeon UCITs Fund. It outlines Alkeon's investment strategies, fee structures, and compensation arrangements. Alkeon primarily invests in long or short positions of publicly-traded and private companies globally. The document also mentions the regulatory compliance and potential incentives for riskier investments due to the fee structure.


document_description: The document provides detailed information about the different series of interests within Alkeon Growth Partners, LP, Alkeon Growth Partners II, LP, and Alkeon Growth PW Partners, LP. Each series is distinguished by varying management fees and liquidity rights. The document outlines the specific fees and withdrawal conditions for each series, including historical and current offerings.


document_description: The document outlines the fee structures and redemption policies for various investment funds managed by Alkeon. It details the management fees, incentive allocations, and redemption conditions for different classes of shares and feeder funds, including the AGP LP 519 Alpha Group, Alkeon Select Funds, Alkeon Asia Growth Funds, and Alkeon Capital Partners Funds.


document_description: The document outlines the fee structures and compensation arrangements for Alkeon and its associated funds, including the Xanthus Fund, Global Growth Fund, Global Growth Offshore Fund, ALPRO Growth, MS UCITs, and the Insurance Series. It details the management and performance fees charged by these funds and the portion allocated to Alkeon. The document also mentions the competitive nature of Alkeon's fees compared to other investment advisers.


document_description: The document outlines the financial disclosure related to Alkeon Capital Management's investment strategies and fee structures. It discusses the use of the 'alternative reporting option' for reporting Alkeon's compensation as 'eligible indirect compensation' on the Schedule C of the plan's Form 5500. It also details the performance-based fees, types of clients, and investment strategies employed by Alkeon, highlighting potential conflicts of interest and the minimum investment requirements for their funds.


document_description: The document outlines the investment strategies and associated risks of Alkeon, a financial entity. It highlights the potential risks involved in investing in small, unseasoned companies, short selling, economic condition changes, lack of diversification, special situations, illiquidity, emerging markets, valuation inaccuracies, trade errors, and investments in non-U.S. securities.


document_description: The document outlines various risks and considerations associated with Alkeon's investment strategies, including the use of leverage, options trading, liquidity issues, active management, counterparty risks, and regulatory concerns. It also highlights the lack of certain investor protections and the need for investors to seek independent legal counsel.


document_description: The document outlines potential risks and conflicts of interest associated with Alkeon Capital Management's activities, including tax consequences and competition with other funds. It also details Alkeon's affiliations with other financial entities such as SilverBay Capital Management and Breakwater Group, LLC.


document_description: The document outlines the brokerage practices of Alkeon, detailing their authority in selecting brokers and executing transactions without specific client consent. It discusses the factors considered in broker selection, such as execution capability, financial stability, and brokerage services. Alkeon may engage in 'soft dollar' relationships, acquiring research and services through brokerage commissions. The document also notes that Alkeon does not consider broker-dealer marketing efforts in their selection process, although some brokers may have marketing relationships with Alkeon or its affiliates.


document_description: The document discusses Alkeon's use of soft dollars in compliance with Section 28(e) of the Securities Exchange Act of 1934. It outlines how Alkeon allocates brokerage commissions to obtain investment research and brokerage services, the conflicts of interest arising from these practices, and the role of Alkeon's Brokerage Committee in addressing these conflicts.


document_description: The document outlines Alkeon's brokerage and trading practices, including the review of brokerage commissions, the use of electronic crossing networks (ECNs), and the potential for 'stepping out' trades to different brokers for research purposes. It addresses the potential conflict of interest arising from gifts or business entertainment provided by broker-dealers and describes Alkeon's Gift and Business Entertainment Policy. The document also discusses the aggregation and allocation of trades among client groups and funds, and the factors influencing these allocations.


document_description: The document outlines Alkeon's procedures for allocating trades among different funds and accounts. It discusses scenarios where trades may not be allocated on a pro-rata basis, such as when the number of shares executed at a given price is too small. It also covers IPO allocation procedures, potential trading scenarios, and supervisory review of accounts. The document emphasizes that performance variations may occur due to different allocation strategies and trading decisions.


document_description: The document outlines various aspects of Alkeon's investment management practices, including client communications, referrals, custody, investment discretion, and proxy voting. It details how Alkeon communicates with investors, manages conflicts of interest, and exercises investment discretion and proxy voting through third-party services.


document_description: This document is a brochure supplement for Alkeon Capital Management, LLC, providing information about supervised persons named in Item 2. It is intended to supplement Alkeon's main brochure and includes contact information for inquiries.


document_description: The document provides information about Alkeon Capital Management's business activities, affiliations, and compliance measures. It mentions Alkeon's affiliation with SilverBay Capital Management and Breakwater Group, LLC, and outlines the supervision and compliance structure within Alkeon.


document_description: This document is a Letter of Authorization for Fund Investment related to a subscription to Alkeon Growth PW Partners LP, managed by Alkeon Capital Management, LLC, and sold by Deutsche Bank. It outlines the requirement for Deutsche Bank to provide 'know your customer' (KYC) information to Alkeon as part of their AML process. The document specifies the types of KYC information needed for individuals and corporate structures or trusts. It also authorizes Deutsche Bank to transfer funds for investment and to share investment-related information with Alkeon.


document_description: The document is an authorization form for transferring funds to AGP LP 519 Alpha Group Capital, managed by Alkeon, with Deutsche Bank as the intermediary. It outlines the process for transferring subscription and placement fees, authorizes Alkeon to share investment information with Deutsche Bank, and clarifies that fund interests are not held at Deutsche Bank. The document emphasizes the protection of personal information and requires client authorization.


document_description: Instructions for becoming a limited partner of Alkeon Growth PW Partners, LP, including completing a Subscription Agreement, executing a Limited Partnership Agreement, and making a capital contribution via wire transfer. The document outlines the process for acceptance and payment details.


document_description: The document outlines the criteria for being considered an accredited investor and a qualified purchaser for a partnership investment. It specifies various categories under which an entity or individual can qualify as an accredited investor, such as having a trust with assets over $5 million or being a corporation with significant assets. It also details the requirements for being a qualified purchaser, including owning investments worth at least $5 million.


document_description: The document outlines criteria for determining 'qualified purchaser' status for entities and individuals in relation to investment in a partnership managed by Alkeon Capital Management, LLC. It includes specific conditions for various types of entities and individuals to qualify as purchasers under the Investment Advisers Act of 1940.


document_description: This document is a legal form related to the classification of entities for investment purposes. It includes a checklist for identifying the type of entity, such as insurance companies, investment companies, private funds, non-profits, pension plans, banking institutions, government entities, sovereign wealth funds, and foreign entities. The form requires additional information if certain boxes are checked, such as whether the entity invests in other pooled investment vehicles or is a fund of funds. Definitions for terms like 'Private Fund' and 'Government Entity' are provided.


document_description: This document outlines the criteria for determining the Benefit Plan Investor status of a new limited partner in a partnership. It includes definitions and representations related to ERISA and the Internal Revenue Code, and requires the new partner to declare their status by checking applicable boxes.


document_description: This document is an agreement involving a New Limited Partner and Alkeon Capital Advisers, LLC, the General Partner. It outlines the representations, warranties, and acknowledgments made by the New Limited Partner regarding their investment in a partnership. The New Limited Partner agrees to notify the General Partner if any representations become untrue and to provide necessary information upon request. The document emphasizes the New Limited Partner's reliance on the agreement's terms, their understanding of the investment risks, and restrictions on transferring partnership interests.


document_description: This document outlines the conditions and requirements for new limited partners in AGP LP 519 Alpha Group Capital, specifically regarding the transfer and awareness of partnership interests, and eligibility to participate in 'new issue' securities. It includes instructions for determining if a new limited partner is a restricted person or covered investor under FINRA rules.


document_description: This document outlines the legal obligations and representations of a New Limited Partner in a partnership, including compliance with anti-money laundering laws, due diligence on beneficial owners, and indemnification clauses. It specifies actions the Partnership may take if representations are false, such as freezing investments or reporting to authorities. It also details requirements for privately held entities to disclose beneficial ownership.


document_description: This document outlines the terms and conditions for a New Limited Partner's investment in AGP LP 519 Alpha Group Capital. It includes details on electronic delivery of partnership information, confidentiality agreements, and indemnification clauses related to email instructions. The document also specifies the responsibilities of the New Limited Partner regarding changes in email addresses and the option to receive information in paper format.


document_description: A new limited partner is investing through a financial advisor and is required to provide the advisor's details.


document_description: This document is an additional representation agreement for investment from an IRA or self-directed pension plan, or by a custodian or directed trustee, into a partnership. It outlines the responsibilities and authority of the fiduciary who directed the investment, ensuring they have exclusive authority and have certified the accuracy of the representations made by the new limited partner.


document_description: A confidential document related to Alpha Group Capital with placeholders for authorized representative and signatory details. It includes confidentiality notices and reference numbers.


document_description: Instructions for completing Form W-9 for acceptance by the Partnership's administrator, including requirements for completion, ink usage, and signature. Special instructions for entities with and without their own employer identification numbers are provided.


document_description: This document is a Form W-9 used to request a taxpayer identification number (TIN) and certification from an individual or entity. It includes sections for providing a name, business name, tax classification, exemptions, address, and TIN. The form also includes a certification section where the signer certifies the correctness of the TIN, exemption from backup withholding, and FATCA reporting status. The form is intended for U.S. persons, including resident aliens, to provide their correct TIN to a requester who must file an information return with the IRS.


document_description: This document provides instructions for completing Form W-9, which is used to provide taxpayer identification information to entities that are required to file information returns with the IRS. It includes details on how to fill out the form, exemptions from backup withholding, and FATCA reporting codes.


document_description: This document outlines the rules for determining ownership in 'Investments' for the purposes of a specific section of an agreement. It specifies how investments should be valued, what types of investments are included or excluded, and the treatment of debt related to investments.


document_description: Special instructions for a new limited partner to qualify as a 'qualified institutional buyer' under Rule 144A of the Securities Act. The document outlines the requirements for a dealer to be considered a qualified purchaser, including owning and investing at least $25 million in securities of non-affiliated issuers. It also specifies conditions under which certain plans or trust funds may not qualify based on who makes investment decisions.


document_description: The document outlines the definition of 'U.S. Person' for legal purposes, specifying exceptions for certain agencies or branches of U.S. Persons located outside the United States, and international organizations.


document_description: This document outlines how Alkeon Capital Management, LLC collects, shares, and protects personal information of its clients. It details the types of personal information collected, the methods of collection, and the purposes for which the information is used. The document also explains the circumstances under which personal information may be disclosed to affiliates and third parties, and the legal rights of clients regarding information sharing.


document_description: The document is a Privacy Notice from Alkeon Capital Management, LLC and its affiliated entities, detailing how personal information is protected using security measures compliant with Federal law. It lists the affiliated management entities and investment funds related to Alkeon Capital. It also provides a contact number for questions regarding the Privacy Notice.


document_description: The document outlines regulations regarding the voting rights and beneficial ownership of securities, particularly in cases involving pledge agreements and underwriting. It specifies conditions under which a pledgee or underwriter is not considered the beneficial owner of securities.


document_description: This document is an Anti-Money Laundering (AML) Supplement that must be completed by a new limited partner to join the partnership. It outlines the necessary payment information and documentation required to complete the subscription agreement, including details about the wiring bank and the source of investment funds.


document_description: This document outlines the requirements for a new limited partner joining AGP LP 519 Alpha Group Capital. It specifies the categories of partners and the necessary documentation for each category, including individuals, funds of funds, trusts, privately held entities, and publicly held companies. The document also lists the materials that must be provided to the administrator, such as identification, source of funds, bank reference letters, and IRS forms.


document_description: The document outlines the requirements for different types of entities to comply with anti-money laundering regulations when becoming a new limited partner. It specifies the necessary documentation for trusts, privately held entities, and publicly held companies, including incumbency certificates, source of funds, bank reference letters, and IRS forms.


document_description: A brief statement explaining the source of funds being invested by AGP LP 519 Alpha Group Capital, associated with Paul Barrett.


document_description: This document is a form of incumbency certificate for a company, which is used to certify the names and signatures of the company's directors and/or officers. It includes placeholders for the title and name of the entity, type of entity, jurisdiction of organization, and names and titles of signatories. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is an AML Certification Form for a fund of funds or an entity that invests on behalf of third parties. It certifies that the entity is aware of and complies with anti-money laundering laws, including the USA PATRIOT Act and OFAC regulations. The entity has policies to verify the identity of beneficial holders or underlying investors and their sources of funds. It assures that these investors do not subject the Partnership to legal violations. The entity agrees to notify the Partnership of any changes in these representations.


document_description: Annex D is a form to be completed by funds of funds, entities that invest on behalf of third parties, and privately held entities. It requires the disclosure of the name, address, and citizenship of individuals or entities that are beneficial owners of 10% or more of any voting or non-voting class of equity interests, as well as all directors, general partners, or members. If there are no 10% beneficial owners, 'None' should be written.


document_description: This document is a certification from a financial institution, confirming its compliance with anti-money laundering laws and regulations. It certifies that the institution has a customer identification program in place to verify client identities and ensure no illegal activities are conducted through its accounts.


document_description: This document is a form for limited partners of Alkeon Growth PW Partners, LP to make additional capital contributions. It includes instructions for completing the form, wire transfer details for the contribution, and options for selecting the series of limited partnership interests. The form also requires acknowledgment of terms and conditions as per the Confidential Private Offering Memorandum and Subscription Agreement.


document_description: This document is a limited partnership agreement for AGP LP 519 Alpha Group Capital, involving Paul Barrett. It includes sections for both entity and individual limited partners to provide their information and signatures. The document emphasizes the need for partners to notify the administrator of any changes in the provided information. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is a withdrawal request form for limited partners in Alkeon Growth PW Partners, L.P. It allows partners to request either a full withdrawal of their entire capital account balance or a partial redemption. The request must be submitted at least 20 calendar days prior to the desired withdrawal date and sent via email to alkeonteam@alkeoncapital.com. The document emphasizes the importance of confirming receipt with Alkeon Capital Management.


document_description: This document provides instructions for completing Form W-9, which is used to provide a Taxpayer Identification Number (TIN) to a requester. It includes definitions of a U.S. person, special rules for partnerships, and instructions for foreign persons. It also covers backup withholding, FATCA reporting, penalties for non-compliance, and specific instructions for filling out the form.


document_description: This document provides instructions for completing Form W-9, which is used to provide a correct Taxpayer Identification Number (TIN) to persons required to file information returns with the IRS. It includes certification requirements, instructions on what name and number to provide for different types of accounts, and guidance on protecting tax records from identity theft. The document also includes a Privacy Act Notice explaining the legal requirements for providing a TIN and the potential uses of the information collected.


document_description: The document provides an analysis of equity investment performance, highlighting seasonality trends in the MSCI US market and comparing AGP's portfolio performance against MSCI World and S&P indices. It includes tables showing monthly median MSCI US performance and AGP's EV/EBITDA ratios from 2003 to 2017. The document suggests that AGP's portfolio trades at a discount despite superior growth rates, indicating a favorable risk/reward ratio.


document_description: This document is a correspondence from Alkeon Capital Management discussing the performance data of their investment vehicles, particularly the Alkeon Growth Partners, LP (AGP) and other related funds. It includes details about management fees, performance metrics, and comparisons to various indices. The document also contains disclaimers about the risks of investment and the confidentiality of the information provided.


document_description: This document is a legal disclaimer and notice regarding investment in Alkeon funds, highlighting the risks and legal restrictions associated with such investments in various jurisdictions including Switzerland, Hong Kong, Korea, Singapore, and the United Kingdom. It emphasizes that there is no assurance of investment return and that the document is not a recommendation for any specific securities. It also includes specific legal notices for investors in different countries.


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It emphasizes the importance of independent assessment of transactions, highlights the risks associated with securities, and clarifies that past performance does not guarantee future results. The document also states that the securities are not insured by the FDIC and are subject to investment risks. Additionally, it mentions potential compensation arrangements and clarifies that Deutsche Bank does not provide accounting, tax, or legal advice.


document_description: This document provides important notices regarding investments in funds managed by Alkeon Capital Management, LLC. It emphasizes the need for prospective investors to carefully review offering documents and understand the substantial risks involved. The investment objective is long-term capital appreciation, and current income is not a goal. Alkeon reserves the right to change investment strategies based on market conditions.


document_description: The document describes the Alkeon Growth Strategy, a long/short global growth equity strategy managed by Alkeon since 1998. It details the history and performance of the strategy, including its management by Panayotis 'Takis' Sparaggis, and the operations of related funds such as AGP PW and AGO. The document emphasizes the strategy's track record and management continuity.


document_description: Alkeon Capital Management is an SEC Registered Investment Adviser with approximately $6.5 billion in assets under management as of September 2017. The firm employs a deep-research, fundamentally-driven approach to investing, focusing on long investments in high-quality equities globally and short investments in low-quality businesses. The portfolio management team is led by Takis Sparaggis, who has been managing hedge fund strategies since 1994. The firm's flagship strategy has achieved significant returns, with the long portfolio exceeding the MSCI World index by 177.6 percentage points and the short portfolio by 91.6 percentage points from January 2001 to September 2017. Alkeon has a global focus with offices in New York, Boston, and Hong Kong.


document_description: The document outlines the core strengths of Alkeon Capital Management, focusing on their experienced investment team, disciplined investment process, and strong business infrastructure. The firm aims to profit on both long and short investments.