Investing With Us


Investing Directly

You can invest in the Gator Financial Fund by filling out an account application and mailing it along with your investment to our Transfer Agent, Mutual Shareholder Services. You can also open an individual retirement account (IRA) as well as transfer or rollover your existing IRA. Before investing, make sure to read the prospectus.

The Gator Financial Fund

c/o Mutual Shareholder Services
8000 Town Centre Drive, Suite 400
Broadview Heights, Ohio 44147
1-855-270-2678

The minimum amount for Investor Class shares is $5,000 for regular accounts, and the minimum is $1,000 for IRAs or accounts with automatic investing plans. The Gator Financial Fund is primarily suitable for long-term investments. For questions about opening an account, call our shareholder services at 855-270-2678.


Investing through a Brokerage Firm

The Gator Financial Fund is available through various financial advisers and online brokerages. You can search for us on brokerage platforms by using our ticker, GFFIX, or by asking your brokerage.  If you would like the Gator Financial Fund added to your platform, please contact us.  The Fund is currently available on the following brokerage platforms:

  • Schwab One Source
  • Vanguard
  • Ameritrade
  • Interactive Brokers LLC*
  • Scottrade
  • Shareholder Services Group
  • Pershing
  • Mid-Atlantic Securities

Fund available to be added to Paychex 401 K plans.

*Interactive Brokers LLC is a registered Broker-Dealer, Futures Commission Merchant and Forex Dealer Member, regulated by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), and is a member of the Financial Industry Regulatory Authority (FINRA) and several other self-regulatory organization.  Interactive Brokers is not affiliated with and does not endorse or recommend any introducing brokers or financial advisers, including Gator Capital Management, LLC.  Interactive Brokers provides execution and clearing services to customers of Gator Capital Management, LLC.


For more information regarding Interactive Brokers, please visit www.interactivebrokers.com.


Online Account Access

If you already have an account, you can view your balance online. Click the button below to view our Online Account Access Portal.

Online Account Access Portal


Applications and Forms

Shareholder Account Application IRA Account Application IRA Transfer/ Direct Rollover Request

An investment in the Gator Financial Fund is subject to special risks including but not limited to, small and mid cap companies securities risk which is subject to the potential for increased volatility as a result of investing in securities that are more volatile compared to investments in more established companies.

Mutual fund investing involves risk. Such risks associated with the Gator Financial Fund as well as applicable investment objectives, charges and expenses must be considered carefully before investing. This and other important information about the Gator Financial Fund is found in the Prospectus, a copy of which or current performance information may be obtained by visiting www.gatorcapital.com or by contacting Mutual Shareholder Services (“MSS”) toll free at (855) 270-2673. We encourage you to read the prospectus carefully before investing.

Past performance does not guarantee future results. Loss of principal is possible. Investment returns and principal value of an investment in the Gator Financial Fund will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. MSS serves as the Fund Transfer Agent and provides Fund Accounting and Pricing Services to the Gator Financial Fund.  Arbor Court Capital, LLC (“ACC”) serves as the Distributor for the Gator Financial Fund is a member of FINRA .  Gregory Getts is the primary owner of MSS and is also the sole shareholder of ACC.


FAQ

  • What are the risks of investing in the Gator Financial Fund?

    An investment in the Fund is subject to investment risks, including the possible loss of some or all of the principal invested. There can be no assurance that the Fund will be successful in meeting its investment objective. You may lose money by investing in the Fund.

    The following is a summary description of principal certain risks of investing in the Gator Financial Fund.

    Portfolio Management Risk – The strategies used and securities selected by the Fund’s Adviser may fail to produce the intended result and the Fund may not achieve its objective. The securities selected for the Fund may not perform as well as other securities that were consistent with the Fund’s investment strategy, but were not selected for the Fund. As a result, the Fund may suffer losses or underperform other funds with the same investment objective or strategies, even in a rising market.

    Market Risk – Securities markets are volatile and prices of all securities may decline when markets decline generally. Accordingly, the price of and the income generated by the Fund’s securities may decline in response to, among other things, adverse changes in investor sentiment, general economic and market conditions, regional or global instability, interest rate fluctuations or other factors that may cause the securities markets to decline generally.

    Financial Services and Regulatory Risk

    Financial Company Risk 

    Real Estate and REIT Risk 

    Company Risk – An equity security may fluctuate in price based upon many different factors, including among others, changes in the company’s financial condition or prospects, or changes in market or economic conditions affecting a company’s industry generally. Equity security prices also fluctuate based on investors’ perceptions of a security’s value, regardless of the accuracy of those perceptions.

    Risks Related to Other Equity Securities – In addition to common stocks, the equity securities in the Fund’s portfolio may include preferred stock and convertible securities. Like common stocks, the value of these equity securities may fluctuate in response to many factors, including the activities of the issuer, general market and economic conditions, interest rates, and specific industry changes. Also, regardless of any one company’s particular prospects, a declining stock market may produce a decline in prices for all equity securities, which could also result in losses for the Fund. Convertible securities entitle the holder to receive interest payments or a dividend preference until the security matures, is redeemed, or the conversion feature is exercised. As a result of the conversion feature, the interest rate or dividend preference is generally less than if the securities were non-convertible.

    Management Style Risk – The performance of the Fund will decline and may be worse than the performance of equity funds that focus on other types of equities or have a broader investment style when the adviser’s management style (generally, value-oriented small-cap equity) is out-of-favor in the market. Since different types of equity securities (e.g., large-cap, mid-cap, small-cap) tend to shift into and out of favor with investors depending on market and economic conditions, the performance of the Fund may also be worse than the performance of equity funds that focus on other types of equities or have a broader investment style when the adviser’s management style is out-of-favor.

    MLP Risk 

    MLP Affiliates Risk

    Foreign Securities Risk

    An investment in the Gator Financial Fund is subject to special risks including but not limited to, small and mid cap companies securities risk which is subject to the potential for increased volatility as a result of investing in securities that are more volatile compared to investments in more established companies.

    Mutual fund investing involves risk. Such risks associated with the Gator Financial Fund as well as applicable investment objectives, charges and expenses must be considered carefully before investing. This and other important information about the Gator Financial Fund is found in the Prospectus, a copy of which or current performance information may be obtained by visiting www.gatormutualfunds.com or by contacting Mutual Shareholder Services (“MSS”) toll free at (855) 270-2673. We encourage you to read the prospectus carefully before investing.

    Past performance does not guarantee future results. Loss of principal is possible. Investment returns and principal value of an investment in the Gator Financial Fund will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. MSS serves as the Funds’ Transfer Agent and provides Fund Accounting and Pricing Services to the Gator Financial Fund. Arbor Court Capital, LLC (“ACC”) serves as the Distributor for the Funds and is a member of FINRA. Gregory Getts is the primary owner of MSS and is also a shareholder of ACC.

  • Are there any restrictions on redemptions?

    Yes. If you redeem your shares within 60 days, you must pay a 1% fee to the Fund. This is to compensate the other shareholders for the additional turnover caused by the frequent trading.

  • How do I redeem shares?

    You may redeem your shares in writing by sending a request to:

    Gator Financial Fund
    c/o Mutual Shareholder Services, LLC
    8000 Town Centre Drive, Suite 400
    Broadview Heights, Ohio 44147

    Or, if you completed the “Telephone Redemption” option on the Application, you may redeem shares via telephone by calling the Fund’s transfer agent at (855) 270-2678.

  • What are the projected expenses of the Gator Financial Fund?

    After the expense limitation cap provided by the Fund’s Investment Adviser, the Fund’s projected expenses are anticipated to 1.49% for Institutional Shares. The expense limitation cap is in a contractual agreement with the Fund’s Board of Trustees in effect through August 1, 2024. The expense cap limitation may or may not be extended.

  • What is the Gator Financial Fund’s investment strategy?

    The Gator Financial Fund will invest at least 30% of its net assets in securities companies “principally engaged” in the business of providing financial services. The Fund considered an issuer to be “principally engaged” in the business if at least 50% of its assets, gross income, or net profits are committed to, or derived from, financial services activities. Financial services activities are activities primarily related to consumer and commercial banking, insurance, securities and investments, specialty finance and real estate.

  • Do I have to pay a commission to buy shares?

    No, you do not have to pay a commission if you purchase the Fund shares directly through the Funds’ Transfer Agent. If you purchase Fund shares through a brokerage account, your broker may charge you a commission. The commission would be paid entirely to your broker.

    Questions about your account? Call the Funds’ Transfer Agent at (855) 270-2678
    Questions about the Funds’ investment strategy? Call our office at (813) 282-7870

  • May I buy shares through my regular brokerage account?

    Yes.  The Fund is currently available on the following brokerage platforms:

    • Schwab One Source
    • Vanguard
    • Ameritrade
    • Interactive Brokers LLC*
    • Scottrade
    • Shareholder Services Group
    • Pershing
    • Mid-Atlantic Securities

    Fund available to be added to Paychex 401 K plans.

    *Interactive Brokers LLC is a registered Broker-Dealer, Futures Commission Merchant and Forex Dealer Member, regulated by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), and is a member of the Financial Industry Regulatory Authority (FINRA) and several other self-regulatory organization.  Interactive Brokers is not affiliated with and does not endorse or recommend any introducing brokers or financial advisers, including Gator Capital Management, LLC.  Interactive Brokers provides execution and clearing services to customers of Gator Capital Management, LLC.  For more information regarding Interactive Brokers, please visit www.interactivebrokers.com.

  • What is the difference between Investor Shares and Institutional Shares?

    There are two main differences between Investor Shares and Institutional Shares:

    • $5,000 minimum initial investment ($1,000) for IRAs)
    • $1,000 minimum additional investment ($500 if auto-investment plan), no 12b-1 fees
  • How do I buy shares in the Gator Financial Fund?

    You may purchases shares in the Gator Financial Fund directly from the Funds’ Transfer Agent, Mutual Shareholder Services, LLC. If you need an application, please visit the Literature Library and download an application and a prospectus. The prospectus should be read carefully before investing. Return the application and your payment to:

    Gator Financial Fund
    c/o Mutual Shareholder Services, LLC
    8000 Town Centre Drive, Suite 400
    Broadview Heights, Ohio 44147

    The Fund is also currently available on the following brokerage platforms:

    • Schwab One Source
    • Vanguard
    • Ameritrade
    • Interactive Brokers LLC*
    • Scottrade
    • Shareholder Services Group
    • Pershing
    • Mid-Atlantic Securities

    Fund available to be added to Paychex 401 K plans.

    *Interactive Brokers LLC is a registered Broker-Dealer, Futures Commission Merchant and Forex Dealer Member, regulated by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), and is a member of the Financial Industry Regulatory Authority (FINRA) and several other self-regulatory organization.  Interactive Brokers is not affiliated with and does not endorse or recommend any introducing brokers or financial advisers, including Gator Capital Management, LLC.  Interactive Brokers provides execution and clearing services to customers of Gator Capital Management, LLC.  For more information regarding Interactive Brokers, please visit www.interactivebrokers.com.