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Yes. As part of your relationship with Gator Capital, we can provide guidance on how to choose among the available funds in your company’s 401(k) plan.
Your custodian will provide reports that you will use in preparation of your income taxes. Gator Capital does not provide tax advice.
Yes. We can set up regular, periodic transfers of a fixed dollar amount on a bi-monthly, monthly or quarterly basis. Alternatively, we can arrange to have the interest and dividends earned paid out of your account, which can vary from month to month.
No. Such consultations are offered as part of our normal management fee. In fact, we welcome the opportunity to discuss tax or estate planning opportunities with other professionals that you’ve engaged. Because they may charge you for their time, we will not undertake discussions without your express permission.
If you need to find a tax professional, attorney, insurance, or retirement plan specialist, we are happy to provide referrals to professionals we know that can assist you. Please note that we do not accept referral fees for referring a client.
Yes. We can set up a separate account that will hold the assets you would like us to manage, and only collect our fee on those assets. If you prefer, your self-managed account can be set up on our system as an unmanaged “custodial” account, allowing us to execute trades that you direct us to make, and to prepare tax and performance reports on your self-managed assets. We only ask that the assets subject to our normal management fee meet our normal account minimums.
Yes. In most cases, we will liquidate your existing holdings and reinvest the proceeds in order to implement our investment strategy. However, some clients may have significant unrealized investment gains in their current holdings that could trigger large income taxes if they were sold. In other cases, clients have specific holdings that they have a particular desire to keep. In these cases, we recommend the client keep these investments in a separate account; we will not collect a fee on these investments.
No. At the outset, your investment goals, previous investing experiences, tolerance for risk, and your specific preferences will be the most important criteria behind the investment strategy we recommend. As we make specific stock investments, we will explain the thesis behind each investment, but we are not able to handle portfolios that require client approval for every investment.
Each client typically meets with either one or two of our investment professionals — either the client’s Portfolio Manager or an Investment Adviser supported by the client’s Portfolio Manager. They are responsible for managing your portfolio on a day-to-day basis.
We meet with each client at the client’s request to review investment performance. We will also have occasional special mailings and email alerts on topics of interest. In addition, most clients talk with us by telephone several times during the year. Clients are also encouraged to contact us by email, fax or telephone at any time to discuss investments.
We charge a management fee based on a percentage of the value of the assets we manage. We accept no commissions or other forms of compensation from investment product providers or financial institutions. The fee is quoted as an annual percentage fee, and is billed quarterly in arrears by taking the value of managed assets at the end of each calendar quarter and applying one-fourth of that annual percentage fee. For example, if the annual fee is 1%, then 1/4 of 1% is applied to each average quarterly account balance. The fee is normally deducted directly from the client account or accounts in arrears unless the client prefers to prepay the fee.
We also offer an incentive fee arrangement at the clients’ request. In these scenarios, we would charge 25 basis points of asset under management as a base fee and 20% of the profits in excess of a market benchmark.