GAIA Capital Management, LLC A Systematic Multi-Strategy - - PowerPoint PPT Presentation

GAIA Capital Management, LLC

A Systematic Multi-Strategy Investment Model Trading Currencies, Gold & Silver

July 2019

Risk Disclosure

THE RISK OF LOSS IN TRADING FOREX AND COMMODITIES CAN BE SUBSTANTIAL. YOU SHOULD THEREFORE CAREFULLY CONSIDER WHETHER SUCH TRADING IS SUITABLE FOR YOU IN LIGHT OF YOUR FINANCIAL CONDITION. THE HIGH DEGREE OF LEVERAGE THAT IS OFTEN OBTAINABLE IN COMMODITY TRADING CAN WORK AGAINST YOU AS WELL AS FOR YOU. THE USE OF LEVERAGE CAN LEAD TO LARGE LOSSES AS WELL AS GAINS. IN SOME CASES, MANAGED COMMODITY ACCOUNTS ARE SUBJECT TO SUBSTANTIAL CHARGES FOR MANAGEMENT AND ADVISORY FEES. IT MAY BE NECESSARY FOR THOSE ACCOUNTS THAT ARE SUBJECT TO THESE CHARGES TO MAKE SUBSTANTIAL TRADING PROFITS TO AVOID DEPLETION OR EXHAUSTION OF THEIR ASSETS. THE DISCLOSURE DOCUMENT CONTAINS A COMPLETE DESCRIPTION OF THE PRINCIPAL RISK FACTORS AND EACH FEE TO BE CHARGED TO YOUR ACCOUNT BY THE COMMODITY TRADING ADVISOR ("CTA"). IF YOU PURCHASE OR SELL A COMMODITY FUTURES CONTRACT OR ENGAGE IN OFF-EXCHANGE FOREIGN CURRENCY TRADING, YOU MAY SUSTAIN A TOTAL LOSS OF THE INITIAL MARGIN FUNDS OR SECURITY DEPOSIT AND ANY ADDITIONAL FUNDS THAT YOU DEPOSIT WITH YOUR BROKER TO ESTABLISH OR MAINTAIN YOUR POSITION. IF THE MARKET MOVES AGAINST YOUR POSITION, YOU MAY BE CALLED UPON BY YOUR BROKER TO DEPOSIT A SUBSTANTIAL AMOUNT OF ADDITIONAL MARGIN FUNDS, ON SHORT NOTICE, IN ORDER TO MAINTAIN YOUR POSITION. IF YOU DO NOT PROVIDE THE REQUESTED FUNDS WITHIN THE PRESCRIBED TIME, YOUR POSITION MAY BE LIQUIDATED AT A LOSS, AND YOU WILL BE LIABLE FOR ANY RESULTING DEFICIT IN YOUR ACCOUNT. THE REGULATIONS OF THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") REQUIRE THAT PROSPECTIVE CUSTOMERS OF A CTA RECEIVE A DISCLOSURE DOCUMENT WHEN THEY ARE SOLICITED TO ENTER INTO AN AGREEMENT WHEREBY THE CTA WILL DIRECT OR GUIDE THE CLIENT'S COMMODITY INTEREST TRADING AND THAT CERTAIN RISK FACTORS BE HIGHLIGHTED. THIS BRIEF STATEMENT CANNOT DISCLOSE ALL OF THE RISKS AND OTHER SIGNIFICANT ASPECTS OF THE COMMODITY MARKETS. IF ONE HAS NOT BEEN PROVIDED TO YOU, YOU SHOULD REQUEST A HARD COPY OF THE DISCLOSURE DOCUMENT AND STUDY IT CAREFULLY TO DETERMINE WHETHER SUCH TRADING IS APPROPRIATE FOR YOU IN LIGHT OF YOUR FINANCIAL CONDITION. THE CFTC HAS NOT PASSED UPON THE MERITS OF PARTICIPATING IN ANY OF THESE TRADING PROGRAMS NOR ON THE ADEQUACY OR ACCURACY OF ANY OF THESE DISCLOSURE DOCUMENTS. OTHER DISCLOSURE STATEMENTS ARE REQUIRED TO BE PROVIDED YOU BEFORE A COMMODITY ACCOUNT MAY BE OPENED FOR YOU. ADDITIONAL DISCLOSURE REQUIRED FOR ADMINISTRATIVE FEES. A COMPLETE DISCUSSION OF FEES AND CHARGES ARE REPORTED IN THE CTA's DISCLOSURE DOCUMENT.

Risk Disclosure

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Risk Disclosure

Overview of GAIA

• GAIA Capital Management, Ltd (formerly GAIA Capital Partners) is a boutique Investment Advisory firm with offices

in Seychelles and Dubai.

• Established by Nicholas White in 2010, GAIA Capital Management Ltd, focuses on providing Alternative Investment

Advisory Services to the Corporate Sector and High Net Worth individuals.

• GAIA has successfully offered its FX+ Program to clients since July 2014.
• GAIA Capital Management, Ltd. operates under a 30.5 Exemption.

Gaia Capital Management, Ltd.

• In an effort to offer his trading model to US investors, Nicholas White established GAIA Capital Management, LLC

in September 2017 with offices in Colorado, USA.

• GAIA Capital Management, LLC currently offers its Currency Trading Program and FX Trading Program to High-Net

Worth and Institutional Investors.

• GAIA Capital Management, LLC is registered as a Commodity Trading Advisor in the United States and is a Member
• f the National Futures Association. NFA ID: #0507746.

GAIA Capital Management, LLC

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Risk Disclosure

A Multi-Strategy Investment Model

A Systematic Multi-Strategy Investment Model Trading Currencies, Gold & Silver*

• GAIA utilizes a systematic multi-strategy investment model that seeks to deliver strong risk adjusted alpha return with low correlation to
• ther asset classes.
• The program utilizes a multi-price tracking signal generator, which looks for short, medium and long term price anomalies. Once identified,

the system then generates a buy or sell signal in an attempt to benefit from those discrepancies.

• Risk management and profit objectives are implemented upon initiation of each trade.

One Engine – Two Trading Programs

GAIA Capital Management, LLC The FX Trading Program GAIA Capital Management, LLC The Currency Trading Program

• The FX Trading Program applies this multi-strategy methodology

to trade various currency pairings in the Forex markets, as well as currency, gold, and silver futures.

• The FX Trading Program will trade at a lower leverage level & a
• ver a longer time frame than that of GAIA’s FX+ Program.
• $150,000 Minimum Investment
• Open to US and Non-US Investors
• Nicholas White applies his multi-strategy investment model to

currency, gold and silver futures markets.

• The Currency Trading Program will trade at a lower leverage level &

a over a longer time frame than that of GAIA’s FX+ Program.

• $150,000 Minimum Investment
• Open to US and Non-US Investors

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

*The original multi-strategy model was developed by Nicholas White in May 2012, under the name the FX+ Program, for GAIA Capital Management, Ltd. After developing a successful proprietary trading performance record for 24 months, Nicholas started trading customer money in July 2014. The program trades Forex and Cash Bullion.

Risk Disclosure

A Multi-Strategy Investment Model

A Systematic Multi-Strategy Investment Model Trading Currencies, Gold & Silver*

• GAIA utilizes a systematic multi-strategy investment model that seeks to deliver strong risk adjusted alpha return with low correlation to
• ther asset classes.
• The program utilizes a multi-price tracking signal generator, which looks for short, medium and long term price anomalies. Once identified,

the system then generates a buy or sell signal in an attempt to benefit from those discrepancies.

• Risk management and profit objectives are implemented upon initiation of each trade.

One Engine – Two Trading Programs

GAIA Capital Management, LLC The FX Trading Program GAIA Capital Management, LLC The Currency Trading Program

• The FX Trading Program applies this multi-strategy methodology

to trade various currency pairings in the Forex markets, as well as currency, gold, and silver futures.

• The FX Trading Program will trade at a lower leverage level & a
• ver a longer time frame than that of GAIA’s FX+ Program.
• $150,000 Minimum Investment
• Open to US and Non-US Investors
• Nicholas White applies his multi-strategy investment model to

currency, gold and silver futures markets.

• The Currency Trading Program will trade at a lower leverage level &

a over a longer time frame than that of GAIA’s FX+ Program.

• $150,000 Minimum Investment
• Open to US and Non-US Investors

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

*The original multi-strategy model was developed by Nicholas White in May 2012, under the name the FX+ Program, for GAIA Capital Management, Ltd. After developing a successful proprietary trading performance record for 24 months, Nicholas started trading customer money in July 2014. The program trades Forex and Cash Bullion.

GAIA Ltd FX+ Performance

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec YTD 2012 2.06 1.62 1.85 1.46 3.29 9.10 2.92 0.99 25.53% 2013 2.10 3.61 6.42

• 1.59

3.32 7.06 4.02 4.13 2.08 0.56 3.76 11.21 57.23% 2014 8.00 3.10 4.18 1.19 4.78 6.80 2.97

• 1.16
• 0.38

6.42 1.55 4.30 50.12% 2015 7.17 11.62 18.88 9.79 4.47 8.70 5.17 3.89 3.36 3.60 1.22 0.76 111.56% 2016 4.99 3.77 2.99 0.00 6.54 2.72

• 1.90

4.25 8.04 6.37 8.83

• 0.96

55.56% 2017 5.87

• 0.92

10.35 9.07

• 2.36

4.54 1.43

• 4.89

8.16

• 1.16
• 2.32

4.03 35.05% 2018

• 6.23

16.35 2.78 6.53 5.96 10.67 5.38 2.67 0.78 4.31 1.86 4.57 69.71% 2019 1.58

• 3.97

2.27

• 5.78

1.20 2.36

• 10.58
• 12.93%

Monthly Performance For GAIA Capital Management, Ltd - FX+ Program

Proprietary Trading from May 2012 to Jun 2014. Client Trading from July 2014.

Program Statistics Compound ROR 50359% Worst Drawdown 14.29% Drawdown Dates Jan 2019 – Jul 2019 Annual Standard Deviation 15.74% Average Monthly Return 3.57% Sharpe Ratio (1% RFROR) 2.66 Sterling Ratio 2.01 % Winning Months 83.91% Correlation to S&P 500

• 0.23

Investment Information Minimum Investment $250,000 Investment Restrictions Non-US Investors Only or ECPs Average Margin to Equity 25% Management Fee 1.0% Incentive Fee 25.0% Liquidity Daily Currencies Traded G10 Crosses Metals Traded Gold & Silver Program Assets $48 Million FX Cash Overlay Assets $345 Million

$500 $1,500 $2,500 $3,500 $4,500 $5,500 $6,500 $7,500 $8,500 $9,500 Jun-14 Aug-14 Oct-14 Dec-14 Feb-15 Apr-15 Jun-15 Aug-15 Oct-15 Dec-15 Feb-16 Apr-16 Jun-16 Aug-16 Oct-16 Dec-16 Feb-17 Apr-17 Jun-17 Aug-17 Oct-17 Dec-17 Feb-18 Apr-18 Jun-18 Aug-18 Oct-18 Dec-18 Feb-19 Apr-19 Jun-19

GAIA Capital Management, Ltd - FX+ Trading Program Growth of $1,000 VAMI (1)

GAIA Ltd FX+ S&P 500 TR

GAIA Ltd FX+ Performance

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Proprietary Trading From May 2012 to June 2014. Client Trading from July 2014 1) VAMI is the growth of a hypothetical $1,000

GAIA LLC FX Trading Program

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec YTD 2017 0.02

• 1.61

0.62

• 0.98%

2018

• 3.80

10.29

• 1.76

5.38 1.22 4.61 2.23 1.02 0.94 0.58 0.02 3.51 26.27% 2019 1.01

• 1.61
• 1.93
• 1.14

2.23 1.30

• 4.10
• -4.31%

Monthly Performance For GAIA Capital Management, LLC – FX Trading Program (1)

Program Commenced Trading October 18, 2017* Program Statistics

Annual Compounded ROR 10.28% Worst Drawdown

• 5.26%

Drawdown Dates Jan 2019 – Jul 2019 Worst Daily Drawdown ≅ 10.0% Average Monthly Return 0.87% Standard Deviation 11.04% Profit Loss Ratio (2) 2.19 Correlation to S&P 500 TR

• 0.38

Investment Information Minimum Investment $150,000 Available To Both US & Non-US Investors Average Margin to Equity 15.0 – 30.0% Management Fee 1.0% Incentive Fee 25.0% Liquidity Daily Markets Traded FOREX Futures Markets Traded Currencies, Gold & Silver Program Assets – Jul 31, 2019 $3 Million GAIA LLC Firm Assets - Jul 31, 2019 $19 Million 1) The FX Trading Program participates in the Forex Markets as well as Currency, Gold & Silver Futures Markets 2) Profit Loss Ratio = (% Profit Periods / % Losing Periods) X ABS (Average Gain in Gain Period / Average Loss in Loss Period) * From Oct 2017 through May 2019 the FX Program implemented GAIA’s FX+ Trading Program’s Medium- and Long-Term strategies at a lower leverage level than that of GAIA’s FX+ Offshore Program. Leverage can be adjusted through the use of notional funding. GAIA expects to add the intra-day component to the US FX Trading Program. The exact time-frame for implementing the intra-day strategy has yet to be determined. Please check back for updates.

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec YTD 2018 0.93 (2)

• 0.46

2.72 1.06 2.08 1.35 0.34 0.31 0.33

• 0.21

2.87 11.86% 2019 0.88

• 1.78
• 2.57
• 1.27

2.28 1.03

• 3.63
• 5.09%

Monthly Performance For GAIA Capital Management, LLC – Currency Trading Program (1)

Program Commenced Trading February 26, 2018

Program Statistics Annual Compounded ROR 4.07% Worst Drawdown

• -5.91%

Drawdown Dates Jan 2019 - Jul 2019 Average Monthly Return 0.35% Sharpe Ratio (1% RF ROR) 0.52 Standard Deviation 6.16% Profit Loss Ratio (2) 1.63 Correlation to S&P 500 TR

• 0.32

Investment Information Minimum Investment $150,000 Available To Both US & Non-US Investors Average Margin to Equity 15.0 – 30.0% Management Fee 1.0% Incentive Fee 25.0% Liquidity Daily Futures Markets Traded Currencies, Gold & Silver Program Assets as of Jul 31, 2019 $16 Million GAIA LLC Firm Assets Jul 31, 2019 $19 Million 1) The Currency Trading Program trades Currency, Gold & Silver Futures. The Program does not trade FOREX. 2) The Program commenced trading February 26, 2018 3) Profit Loss Ratio = (% Profit Periods / % Losing Periods) X ABS (Average Gain in Gain Period / Average Loss in Loss Period)

GAIA LLC Currency Trading Program

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

GAIA’s Trading Engine

Multi System Multi Time Horizon Adapts to Market Conditions Independent

• f Market

Direction Repeatable Yet Flexible

90% Systematic | 10% Discretionary Trend Following & Moving Averages Breakout Indicators Counter Trend Indicators Momentum Oscillators & Statistical Probability Volume & Open Interest Short-Term: 1 hour to 5 days 20% Medium-Term: 2 days to 2 weeks 50% Long-Term: 7 days to 8 weeks 30%

Multi-Systematic & Adaptable

GAIA’s Multi-Strategy Investment Model is applied to each of its Trading Programs

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Trading Principal Bio

Nicholas White – 30 Years Investment Experience – Trading Principal

• Mr. White has been employed within the financial services industry since 1988 and has worked for various firms

including Morgan Guaranty Trust Company (JP Morgan), Lehman Brothers, AMT Futures Limited and Smith Barney Europe (Citigroup).

• In November 1997, Mr. White joined Seccom Limited as CIO, where he managed a Global Real Estate and Alternative

Investment Portfolio.

• In 2001, Mr. White established Fitrol Investment Management, where he began developing his quantitative trading
• models. Fitrol’s Managed Futures Program went on to become one of the worlds best performing CTA programs of

2003 and 2004. In 2005 he was listed as Futures Magazine’s “Hot New CTA”.

• In October 2007 Mr. White established an Investment Management boutique (Al Oula Capital) for the Abu Dhabi Royal

Family, where the Investment Advisory Services Division provided Corporate Finance, ECM/DCM, Private Equity and Wealth Management solutions to sovereign and semi-governmental entities across the Gulf Cooperation Council.

• Mr. White established GAIA Capital Management, Ltd in May 2012. GAIA continues to offer Advisory services to High-

Net Worth Individuals, Institutions, and Government Agencies.

• Nicholas White has assembled a team proficient in asset management, strategy development, statistical analysis and

proprietary trading. The team has particular expertise in time series analysis, statistical modeling, forecasting, non- linear indicators, and management of vast real-time and historical data. The team oversees the system from trade notification through execution and reconciliation.

• The National Futures Association approved Mr. White as the Trading Principal of GAIA Capital Management, LLC in

October 2017.

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

The GAIA Family Assets under Management

The GAIA Family Assets Under Management – July 31, 2019 GAIA / Nicholas White Custom Programs ≅ 345 Million GAIA Capital Management, Ltd ≅ 48 Million GAIA Capital Management, LLC ≅ 19 Million Total ≅ 412 Million

The GAIA Family AUM

Nicholas White, is the trading principal of both GAIA Capital Management, Ltd (Est. May 2012), and GAIA Capital Management, LLC. (Est. October 2017). Nicholas’ flagship program, FX+ has been trading client money since July 2014, returning a Annualized Compound ROR in excess of 50% with a Maximum Monthly Drawdown of less than 7%. FX+ trades forex, as well as gold & silver bullion. Nicholas brought GAIA to the U.S. in October 2017, applying the FX+ strategies to the currency, gold and silver futures markets. Nicholas White / GAIA Capital Management, Ltd manages over $325 million in custom deleveraged trading strategies for a small select number of private clients. These strategies are based on the same signals generated by Mr. White’s FX+ Trading Program. Operating under a Non-Disclosure Agreement the performance of these accounts are not able to be published. Nicholas White, GAIA Capital Management, Ltd and GAIA Capital Management, LLC continue to offer Advisory services to High-Net Worth Individuals, Institutions, and Government Agencies.

PAST PERFORMANCE IS NOT NECESSARILY INDICATIVE OF FUTURE RESULTS. FUTURES, OPTIONS, AND FOREX TRADING INVOLVE SUBSTANTIAL RISK OF LOSS AND IS NOT SUITABLE FOR ALL INVESTORS. FOR INFORMATIONAL PURPOSES ONLY – THIS IS NOT A SOLICITATION

Awards

For Additional Information please contact:

GAIA Capital Management, LLC

Kim Avery 719-453-1509 kim@gaiamanagementcapital.com