Set Up Your Account
This questionnaire collects the customer information and risk-disclosure information NovoDyn is required to obtain for its CTA relationship with you (per NFA Rule 2.30), along with your program selections. This will allow us to email you a complete onboarding document for your review and signature. NovoDyn does not take custody of client funds and does not ordinarily collect identity documents through this questionnaire — your carrying FCM conducts its own account-opening, customer-identification, beneficial-ownership, and related verification procedures separately.
Just Requesting Information?
If you're not ready to open an account yet and just want program materials or the Disclosure Document, use this instead of the full questionnaire below.
Account Type
Primary Investor
Required for all individual accounts, per NFA Rule 2.30.
For this calculation, exclude the value of your primary residence. Generally exclude mortgage debt secured by your primary residence up to its fair market value; however, include any mortgage debt exceeding the residence's fair market value and certain increases in mortgage debt incurred during the preceding 60 days.
Account Ownership
Trust Information
Identification information required for all trusts.
Commodity Pool Screening — Trust Accounts
Required under NFA Bylaw 1101. An ordinary estate-planning trust does not resemble a commodity pool -- this question is what distinguishes that from a trust genuinely operated as an investment vehicle for multiple participants.
Commodity Pool Screening
Required under NFA Bylaw 1101 for LLC, corporation, partnership, LP, or similar entity accounts.
Does the entity rely upon either of the following exclusions from the definition of an investment company under the Investment Company Act of 1940?
Commodity Pool Operator Information
Program Selection
Select the NovoDyn Structural Alpha Program to enter your investment amount and, if applicable, select the market exposure you want replicated.
Your investment amount and, if applicable, market selections and allocation as entered in the Calculator.
Investment Profile
These questions help NovoDyn understand your investment objectives and circumstances in connection with its fiduciary obligations.
How would you characterize your tolerance for investment risk, including the potential to lose some or all of the capital allocated to this account?
How long do you currently expect to participate in the NovoDyn Structural Alpha Program?
Do you anticipate needing to withdraw a material portion of the assets in this account within the next 12 months?
Eligible Contract Participant (ECP) Determination
NFA Compliance Rule 2-30's financial and experience questions apply to non-individual customers only where they are not ECPs. Once a trust's ECP status is reasonably verified, those questions no longer apply. To qualify as an ECP on an assets basis, a trust generally must have total assets exceeding $10,000,000.
Financial and Experience Information
Required under NFA Compliance Rule 2-30 for non-ECP trusts.
Eligible Contract Participant (ECP) Determination
Financial and experience questions below depend on this answer. To qualify as an ECP on an assets basis, total assets generally must exceed $10,000,000.
Financial Information
Investment and Derivatives Experience
Overlay Scope
NovoDyn's systematic overlay can include both futures-based and securities-based engines, or futures-based engines only. This determines whether a securities brokerage relationship is needed for this account.
FCM Account Status
NovoDyn does not take custody of client funds and does not ordinarily collect identity documents through this questionnaire. Your carrying FCM conducts its own account-opening, customer-identification, and verification procedures.
Brokerage Account Status
Some clients also carry a separate securities brokerage account. NovoDyn does not take custody of client funds and does not ordinarily collect identity documents through this questionnaire. Your carrying broker conducts its own account-opening, customer-identification, and verification procedures.
Client Relationship
Was this account introduced or referred to NovoDyn by a Registered Investment Adviser?
Account Contact Information
This is the client/account's primary contact information -- not the RIA contact information collected above. NovoDyn will use it to send your completed onboarding/legal documents, for account communications, and as the administrative contact for this account. For Joint Accounts, each owner provides their own email address and telephone number. For Trusts, entities, FLPs, pools, and IRAs, this is the primary person NovoDyn should use for onboarding and account communications.
Consent
Signature and formal certification happen later, when NovoDyn sends the completed onboarding package for your signature. These consents apply now.