Returns Chart

Key Stats

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Expense Ratio Total Assets Under Management Dividend Yield Turnover Ratio
3.21% 10.95M 5.25% 42.00%
1 Year Fund Level Flows 1 Year Total Returns (Daily) Annualized All Time Total Returns (Daily) Max Drawdown (All)
1.053M 0.27% Upgrade Upgrade

Basic Info

Investment Strategy
The investment seeks total return through investments that offer regular income or the potential for price and capital appreciation. The advisor expects to invest primarily in income-generating assets and will seek the best available risk-adjusted opportunities in fixed income that offer the potential for both stable, regular cash flows and price appreciation. The fund will invest, under normal circumstances, at least 80% of its net assets (plus any borrowings for investment purposes), in Credit Investments. It is non-diversified.
General
Security Type Unlisted Closed-End Fund
Oldest Share Symbol --
Equity Style Small Cap/Value
Fixed Income Style --
Broad Asset Class --
Broad Category Fixed Income
Category Name Multisector Bond
Category Index Bloomberg US Universal TR USD
Prospectus Objective Growth and Income
Fund Owner Firm Name A3 Financial Investments
Prospectus Benchmark Index
N/A 100.0%
Broad Asset Class Benchmark Index
^SPXTR 100.0%
Manager Tenure
Gregg Bell 2.01 yrs

Net Fund Flows Versus Category

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1M
3M
6M
YTD
1Y
3Y
5Y
10Y
 
80.00B
60.00B
40.00B
20.00B
0
-20.00B
1 Month
% Rank: --
-- Category Low
-- Category High
1 Year
% Rank: 70
1.053M
-1.930B Category Low
11.22B Category High
3 Months
% Rank: --
-- Category Low
-- Category High
3 Years
% Rank: --
-- Category Low
-- Category High
6 Months
% Rank: --
-- Category Low
-- Category High
5 Years
% Rank: --
-- Category Low
-- Category High
YTD
% Rank: --
-- Category Low
-- Category High
10 Years
% Rank: --
-- Category Low
-- Category High
As of September 30, 2021

Performance Versus Category

 
20%
15%
10%
5%
0
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Name
1M
3M
YTD
1Y
3Y
5Y
10Y
15Y
Total Return (NAV)
--
--
--
--
--
--
--
--
Category Rtn. (NAV)
--
--
--
--
--
--
--
--
% Rank in Cat (NAV)
--
--
--
--
--
--
--
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As of October 26, 2021. Returns for periods of 1 year and above are annualized.

Annual Total Returns Versus Peers

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Name
2014
2015
2016
2017
2018
2019
2020
YTD
--
--
--
--
--
--
4.88%
-3.20%
13.69%
1.38%
11.96%
21.83%
-4.38%
31.49%
18.40%
23.20%
2.71%
1.01%
10.28%
8.58%
-1.23%
12.50%
6.11%
-0.28%
2.95%
-3.14%
10.36%
6.23%
-3.41%
12.81%
6.31%
3.31%
--
--
--
--
--
--
-2.41%
4.29%
--
--
--
--
--
--
9.32%
0.96%
As of October 26, 2021.

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (10-26-21) 5.25%
30-Day SEC Yield --
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 4.005
Weighted Average Price to Sales Ratio Upgrade
Weighted Average Price to Book Ratio Upgrade
Weighted Median ROE Upgrade
Weighted Median ROA Upgrade
Forecasted Dividend Yield Upgrade
Forecasted PE Ratio Upgrade
Forecasted Price to Sales Ratio Upgrade
Forecasted Price to Book Ratio Upgrade
Bond
Current Yield 1.81%
Yield to Maturity --
Effective Duration --
Average Coupon Upgrade
Average Credit Score --
Average Price Upgrade
As of June 30, 2021

Fund Details

Key Dates
Inception Date 9/30/2019
Last Annual Report Date 3/31/2021
Last Prospectus Date 12/22/2020
Attributes
Enhanced Index Fund No
Index Fund No
Inverse Fund No
Leveraged Fund No
Fund of Funds No
Currency Hedged Fund No
Synthetic Replication Fund No
Has Dividend Investment Plan No
Socially Responsible Fund No

Asset Allocation

As of June 30, 2021.
Type % Net % Long % Short
Cash 3.78% Upgrade Upgrade
Stock 23.55% Upgrade Upgrade
Bond 75.17% Upgrade Upgrade
Convertible 0.00% Upgrade Upgrade
Preferred 2.04% Upgrade Upgrade
Other -4.54% Upgrade Upgrade

Top 10 Holdings

Name % Weight Price % Change
Oxford Lane Capital Corp 5.04% 7.87 0.25%
FS KKR Capital Corp 4.98% 22.29 -0.93%
Apollo Investment Corp 4.49% 13.40 -0.15%
Government National Mortgage Association 2.07%
3.93% -- --
Pennant Park Investment Corp 3.86% 6.88 -0.43%
Eagle Point Credit Co LLC 3.53% 14.02 -0.16%
Eagle Point Income Co Inc 3.12% 19.29 -0.34%
AGNC Investment Corp 2.79% 16.51 -0.18%
Government National Mortgage Association 2.23%
2.74% -- --
Oxford Square Capital Corp 2.57% 4.15 0.97%

Fees & Availability

Fees
Actual 12B-1 Fee --
Actual Management Fee Upgrade
Administration Fee --
Performance Fee --
Switching Fee --
Transaction Fee --
Maximum Front Load --
Maximum Deferred Load --
Maximum Redemption Fee --
General Availability
Available for Insurance Product No
Available for Retirement Plan No
Available for RRSP No
Purchase Details
Open to New Investors Yes
Open to Existing Investors Yes
Minimum Initial Investment Upgrade
Minimum Subsequent Investment Upgrade

Basic Info

Investment Strategy
The investment seeks total return through investments that offer regular income or the potential for price and capital appreciation. The advisor expects to invest primarily in income-generating assets and will seek the best available risk-adjusted opportunities in fixed income that offer the potential for both stable, regular cash flows and price appreciation. The fund will invest, under normal circumstances, at least 80% of its net assets (plus any borrowings for investment purposes), in Credit Investments. It is non-diversified.
General
Security Type Unlisted Closed-End Fund
Oldest Share Symbol --
Equity Style Small Cap/Value
Fixed Income Style --
Broad Asset Class --
Broad Category Fixed Income
Category Name Multisector Bond
Category Index Bloomberg US Universal TR USD
Prospectus Objective Growth and Income
Fund Owner Firm Name A3 Financial Investments
Prospectus Benchmark Index
N/A 100.0%
Broad Asset Class Benchmark Index
^SPXTR 100.0%
Manager Tenure
Gregg Bell 2.01 yrs

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (10-26-21) 5.25%
30-Day SEC Yield --
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 4.005
Weighted Average Price to Sales Ratio Upgrade
Weighted Average Price to Book Ratio Upgrade
Weighted Median ROE Upgrade
Weighted Median ROA Upgrade
Forecasted Dividend Yield Upgrade
Forecasted PE Ratio Upgrade
Forecasted Price to Sales Ratio Upgrade
Forecasted Price to Book Ratio Upgrade
Bond
Current Yield 1.81%
Yield to Maturity --
Effective Duration --
Average Coupon Upgrade
Average Credit Score --
Average Price Upgrade
As of June 30, 2021

Fund Details

Key Dates
Inception Date 9/30/2019
Last Annual Report Date 3/31/2021
Last Prospectus Date 12/22/2020
Attributes
Enhanced Index Fund No
Index Fund No
Inverse Fund No
Leveraged Fund No
Fund of Funds No
Currency Hedged Fund No
Synthetic Replication Fund No
Has Dividend Investment Plan No
Socially Responsible Fund No