Print DDQ Questionnaire Print Firm Info SectionFirm Information Organization1.1 Please provide basic firm information.a. Firm Nameb. Addressc. Business Entity Type:d. Primary Market:e. Primary Strategy/Product Types:f. Primary Contact Name and Information:1.2 Please provide a brief history of your firm including ownership structure and firm/organizational chart. 1.3 Please respond to the following questions regarding diversity, equity and inclusion of your firm.a. Ownership: What percentage of the firm’s ownership identify as women, trans, and/or gender non-conforming? Black and Indigenous People of Color (BIPOC)? b. Hiring & Staff Development: What hiring policies or practices does your firm have in place to attract, retain, and train women, trans, and/or gender non-conforming folks? BIPOC folks? c. Vendors and Service Providers: Do you have a policy or practice that prioritizes using women, trans, gender non-conforming, and/or BIPOC-owned businesses as core vendors or service providers (e.g., brokerage firms, law firms, accountants, etc.)? 1.4 What are your goals around the firm’s ownership and leadership as they relate to social justice issues, such as racial, gender, and economic justice? What is your current progress towards those goals? 1.5 Please list the names, titles and relevant licenses of the key professionals (i.e., analysts, portfolio managers, relationship managers, etc.) in the firm. 1.6 What is the minimum asset level required for your firm to become or remain profitable? If you haven’t yet reached profitability, when do you expect to?1.7 Please provide a brief description of your firm’s plans for growth, such as total asset growth, personnel growth, succession planning, over the next three to five years.1.8 Describe any joint ventures or affiliations, including any ownership your firm or any entity under your control may hold in partnerships and/or other investment firms.Compliance & Operations1.9 Is your firm currently registered with any regulatory agency, such as the SEC, CFTC, FINRA or any state agencies? If so, provide agency name, business name (including 'doing business as'), registration type, and registration number or other identifier. 1.10 What is the size and extent of your operations team? Please note if it is in-house or out-sourced. If out-sourced, please provide names of your strategic partners and a brief description of their roles and responsibilities.1.11 Do you have an internal, dedicated compliance officer? Does your compliance officer serve other roles within the firm? If so, please describe.1.12 Has the firm adopted a formal compliance policy and/or a code of ethics for employees?1.13 Describe the firm’s security environment. Specifically cover the physical, digital security, and policy measure safeguards that you have put in place to control access to portfolio reporting systems and client account information. Please include the approach to securing email and web communications and defending against cyber attacks.a. Has your firm had a data security breach in the last five years? If so, please describe the incident as well as the corrective actions.b. Please describe your firm’s disaster recovery and business continuity plans.1.14 Are you currently or have you been in the last 5 years fined or censured in one or more compliance requirements by the DOL, SEC, or any other regulatory agency? If yes, please explain thoroughly.1.16 Provide a description of any material litigation involving the firm, any of its principals, or registered advisors during the last ten years, including the nature of the litigation, the parties, the court, case number, and the current status.1.15 When was your last audit (please be specific by month and year) by the SEC, DOL or any regulatory agency? Has your firm been audited by the SEC, DOL, or any regulatory agency in the past 5 years? If so, what was the result?Supplementary Information1.17 Is there anything else that you would like to share with us regarding your firm that we have not asked?Additional Documents1.18 Please list the products/strategies attached to this questionnaire. (Produce/Strategy Name) Add Remove1.19 Please attach the following documents for your firm (where applicable)Form ADV (or alternative regulatory filing)Max. file size: 300 MB.View Form ADVProof of errors and omissions (E&O) insurance coverageMax. file size: 300 MB.View Insurance CoverageCompliance Policy and/or Code of EthicsMax. file size: 300 MB.View Compliance PolicyPersonal Trading PolicyMax. file size: 300 MB.(including procedures for violations and details on any violations within the past months) View Personal Trading PolicyPrint Adasina Social Justice Index SectionProduct/Strategy General Information - Adasina Social Justice Index Investment OverviewProduct/Strategy A Name:2.1 Please provide basic product/strategy information below.a. Product/Strategy Organization:b. Unique Identifier:c. Primary Market:2.2 Briefly describe your investment philosophy for this product/strategy.2.3 What percentage of voting members of the Investment Committee and/or portfolio management team self-identify as women, trans, and/or gender non-conforming? Black, Indigenous, and people of color (BIPOC)? Please list out each team, number of members, the role of the team, percentage of Women Trans and/or Gender Non-Conforming members, and percentage of BIPOC members. 2.4 Please describe your investment product/strategy team’s personnel as well as specific roles, responsibilities, and past relevant experience of each team member.2.5 Please describe your investment selection process; at a minimum, outline the universe of investments from which selections are made, how the universe is narrowed, the criteria used for inclusion or exclusion, how many investments are followed closely, who is involved in each step, and who makes the final decision. If applicable, include parameters for sector/industry, region/country, state/municipality, and position sizing. Include constraints on minimum/maximum percentage allocations (or overweights or underweights versus the most appropriate index).2.6 Please describe your procedures as it relates to reconciliation of portfolio transactions, holdings, cash levels, and third-party performance calculations. Please note the frequency of and the systems in place to complete such reconciliations2.7 For each investment strategy, please provide the following:a. Standard Fee Schedule:b. Inception Date:c. Assets Under Management/Advisement (AUM/AUA):d. Expected AUM in 12 months. How will you get there?e. Product/Strategy Performance:View Strategy and Performancef. Benchmarki. Please provide your strategy benchmark and its performance over the same period of time as provided for the strategy above.ii. Please explain why you chose this benchmark for your strategy.iii. Describe how your strategy seeks to add value relative to the chosen benchmark.g. Tracking error relative to benchmark.h. Relevant key portfolio statistics (e.g., geographic targets, price-to-book, price-to-earnings, weighted average market capitalization, tracking error, sector allocations, yield measures, credit quality, maturity, duration). Please describe targets (including allowable ranges or limits) and current metrics.2.8 Describe your trading process, what aspects do you feel are unique? Address any liquidity issues associated with this strategy.2.9 Do you employ any hedging, margin, or leverage strategies? If so, please describe instruments utilized.Print All Cap Global ETF SectionProduct/Strategy General Information - Adasina Social Justice All Cap Global ETF Investment OverviewProduct/Strategy A Name:2.1 Please provide basic product/strategy information below.a. Product/Strategy Organization:b. Unique Identifier:c. Primary Market:2.2 Briefly describe your investment philosophy for this product/strategy.2.3 What percentage of voting members of the Investment Committee and/or portfolio management team self-identify as women, trans, and/or gender non-conforming? Black, Indigenous, and people of color (BIPOC)? Please list out each team, number of members, the role of the team, percentage of Women Trans and/or Gender Non-Conforming members, and percentage of BIPOC members. 2.4 Please describe your investment product/strategy team’s personnel as well as specific roles, responsibilities, and past relevant experience of each team member.2.5 Please describe your investment selection process; at a minimum, outline the universe of investments from which selections are made, how the universe is narrowed, the criteria used for inclusion or exclusion, how many investments are followed closely, who is involved in each step, and who makes the final decision. If applicable, include parameters for sector/industry, region/country, state/municipality, and position sizing. Include constraints on minimum/maximum percentage allocations (or overweights or underweights versus the most appropriate index).2.6 Please describe your procedures as it relates to reconciliation of portfolio transactions, holdings, cash levels, and third-party performance calculations. Please note the frequency of and the systems in place to complete such reconciliations.2.7 For each investment strategy, please provide the following:a. Standard Fee ScheduleView Fee Scheduleb. Inception Date:c. Assets Under Management/Advisement (AUM/AUA)Assets Under Management/Advisement (AUM/AUA):d. Expected AUM in 12 months. How will you get there?e. Product/Strategy Performance: (if limited track record, feel free to include other relevant data).f. Benchmarki. Please provide your strategy benchmark and its performance over the same period of time as provided for the strategy above.ii. Please explain why you chose this benchmark for your strategy.iii. Describe how your strategy seeks to add value relative to the chosen benchmark.g. Tracking error relative to benchmark.h. Relevant key portfolio statistics (e.g., geographic targets, price-to-book, price-to-earnings, weighted average market capitalization, tracking error, sector allocations, yield measures, credit quality, maturity, duration). Please describe targets (including allowable ranges or limits) and current metrics.2.8 Describe your trading process, what aspects do you feel are unique? Address any liquidity issues associated with this strategy.2.9 Do you employ any hedging, margin, or leverage strategies? If so, please describe instruments utilized.Print US Large Cap SMA Model SectionProduct/Strategy General Information - Adasina Social Justice US Large Cap SMA Model Investment OverviewProduct/Strategy A Name:2.1 Please provide basic product/strategy information below.a. Product/Strategy Organization:b. Unique Identifier:c. Primary Market:2.2 Briefly describe your investment philosophy for this product/strategy.2.3 What percentage of voting members of the Investment Committee and/or portfolio management team self-identify as women, trans, and/or gender non-conforming? Black, Indigenous, and people of color (BIPOC)? Please list out each team, number of members, the role of the team, percentage of Women Trans and/or Gender Non-Conforming members, and percentage of BIPOC members. 2.4 Please describe your investment product/strategy team’s personnel as well as specific roles, responsibilities, and past relevant experience of each team member.2.5 Please describe your investment selection process; at a minimum, outline the universe of investments from which selections are made, how the universe is narrowed, the criteria used for inclusion or exclusion, how many investments are followed closely, who is involved in each step, and who makes the final decision. If applicable, include parameters for sector/industry, region/country, state/municipality, and position sizing. Include constraints on minimum/maximum percentage allocations (or overweights or underweights versus the most appropriate index).2.6 Please describe your procedures as it relates to reconciliation of portfolio transactions, holdings, cash levels, and third-party performance calculations. Please note the frequency of and the systems in place to complete such reconciliations.2.7 For each investment strategy, please provide the following:a. Standard Fee Schedule:View Strategy and Performancei. Provide context for your product/strategy fee(s).b. Inception Date:c. Assets Under Management/Advisement (AUM/AUA):d. Expected AUM in 12 months. How will you get there?e. Product/Strategy Performance:f. Benchmarki. Please provide your strategy benchmark and its performance over the same period of time as provided for the strategy above.ii. Please explain why you chose this benchmark for your strategy.iii. Describe how your strategy seeks to add value relative to the chosen benchmark.g. Tracking error relative to benchmark.h. Relevant key portfolio statistics (e.g., geographic targets, price-to-book, price-to-earnings, weighted average market capitalization, tracking error, sector allocations, yield measures, credit quality, maturity, duration). Please describe targets (including allowable ranges or limits) and current metrics.2.8 Describe your trading process, what aspects do you feel are unique? Address any liquidity issues associated with this strategy.2.9 Do you employ any hedging, margin, or leverage strategies? If so, please describe instruments utilized.Print US All Cap SMA Model SectionProduct/Strategy General Information - Adasina Social Justice US All Cap SMA Model Investment Overviewa. Product/Strategy Name:2.1 Please provide basic product/strategy information below.b. Product/Strategy Organization:c. Unique Identifier:d. Primary Market:2.2 Briefly describe your investment philosophy for this product/strategy.2.3 What percentage of voting members of the Investment Committee and/or portfolio management team self-identify as women, trans, and/or gender non-conforming? Black, Indigenous, and people of color (BIPOC)? Please list out each team, number of members, the role of the team, percentage of Women Trans and/or Gender Non-Conforming members, and percentage of BIPOC members. 2.4 Please describe your investment product/strategy team’s personnel as well as specific roles, responsibilities, and past relevant experience of each team member.2.5 Please describe your investment selection process; at a minimum, outline the universe of investments from which selections are made, how the universe is narrowed, the criteria used for inclusion or exclusion, how many investments are followed closely, who is involved in each step, and who makes the final decision. If applicable, include parameters for sector/industry, region/country, state/municipality, and position sizing. Include constraints on minimum/maximum percentage allocations (or overweights or underweights versus the most appropriate index).2.6 Please describe your procedures as it relates to reconciliation of portfolio transactions, holdings, cash levels, and third-party performance calculations. Please note the frequency of and the systems in place to complete such reconciliations.2.7 For each investment strategy, please provide the following:a. Standard Fee ScheduleView Strategy and Performancei. Provide context for your product/strategy fee(s).b. Inception Date:c. Assets Under Management/Advisement (AUM/AUA):d. Expected AUM in 12 months. How will you get there?e. Product/Strategy Performance:f. Benchmarki. Please provide your strategy benchmark and its performance over the same period of time as provided for the strategy above.ii. Please explain why you chose this benchmark for your strategy.iii. Describe how your strategy seeks to add value relative to the chosen benchmark.g. Tracking error relative to benchmark.h. Relevant key portfolio statistics (e.g., geographic targets, price-to-book, price-to-earnings, weighted average market capitalization, tracking error, sector allocations, yield measures, credit quality, maturity, duration). Please describe targets (including allowable ranges or limits) and current metrics.2.8 Describe your trading process, what aspects do you feel are unique? Address any liquidity issues associated with this strategy.2.9 Do you employ any hedging, margin, or leverage strategies? If so, please describe instruments utilized.Print Global All Cap SMA Model SectionProduct/Strategy General Information - Adasina Social Justice Global All Cap SMA Model Investment OverviewProduct/Strategy A Name:2.1 Please provide basic product/strategy information below.a. Product/Strategy Organization:b. Unique Identifier:c. Primary Market:2.2 Briefly describe your investment philosophy for this product/strategy.2.3 What percentage of voting members of the Investment Committee and/or portfolio management team self-identify as women, trans, and/or gender non-conforming? Black, Indigenous, and people of color (BIPOC)? Please list out each team, number of members, the role of the team, percentage of Women Trans and/or Gender Non-Conforming members, and percentage of BIPOC members. 2.4 Please describe your investment product/strategy team’s personnel as well as specific roles, responsibilities, and past relevant experience of each team member.2.5 Please describe your investment selection process; at a minimum, outline the universe of investments from which selections are made, how the universe is narrowed, the criteria used for inclusion or exclusion, how many investments are followed closely, who is involved in each step, and who makes the final decision. If applicable, include parameters for sector/industry, region/country, state/municipality, and position sizing. Include constraints on minimum/maximum percentage allocations (or overweights or underweights versus the most appropriate index).2.6 Please describe your procedures as it relates to reconciliation of portfolio transactions, holdings, cash levels, and third-party performance calculations. Please note the frequency of and the systems in place to complete such reconciliations.2.7 For each investment strategy, please provide the following:a. Standard Fee Schedule:View Strategy and Performancei. Provide context for your product/strategy fee(s).b. Inception Date:c. Assets Under Management/Advisement (AUM/AUA):d. Expected AUM in 12 months. How will you get there?e. Product/Strategy Performance:f. Benchmarki. Please provide your strategy benchmark and its performance over the same period of time as provided for the strategy above.ii. Please explain why you chose this benchmark for your strategy.iii. Describe how your strategy seeks to add value relative to the chosen benchmark.g. Tracking error relative to benchmark.h. Relevant key portfolio statistics (e.g., geographic targets, price-to-book, price-to-earnings, weighted average market capitalization, tracking error, sector allocations, yield measures, credit quality, maturity, duration). Please describe targets (including allowable ranges or limits) and current metrics.2.8 Describe your trading process, what aspects do you feel are unique? Address any liquidity issues associated with this strategy.2.9 Do you employ any hedging, margin, or leverage strategies? If so, please describe instruments utilized.Print Impact SectionImpact2.10 Please describe how your product/strategy intentionally avoids investing in industries that harm women and people of color.2.11 How does the strategy integrate analysis of financially material environmental, social, and governance (ESG) issues into its investment process (please include all ESG criteria employed, including gender, climate, racial, economic and/or other social considerations)?2.12 How do you incorporate racial justice considerations in this product/strategy? How do you measure the impact of your strategy and how do you assess progress toward goals? Please describe any potential risks related to these impact efforts.2.13 How is ESG research conducted? Is there a member or group of the investment team dedicated to ESG research or is it incorporated in the fundamental analysis?2.14 From which sources do you obtain your ESG data?2.15 To what extent does your firm undertake engagement with the companies and/or entities in which it invests? Please describe this process and team members or external organizations involved.Supplementary Information2.16 Is there anything else that you would like to share with us about this product/strategy that we have not already asked?Please attach any relevant documents for this product/strategy. Drop files here or Select files Max. file size: 300 MB. Link to Strategy Subpage Δ