3iQ to List The Bitcoin Fund on Nasdaq Dubai

Not for distribution to Canadian or U.S. newswire services or for dissemination in Canada or the United States.

THIS ANNOUNCEMENT AND THE INFORMATION CONTAINED HEREIN IS RESTRICTED AND IS NOT FOR RELEASE, PUBLICATION OR DISTRIBUTION, IN WHOLE OR IN PART, DIRECTLY OR INDIRECTLY IN, OR INTO OR FROM CANADA OR THE UNITED STATES OR ANY OTHER JURISDICTION IN WHICH THE SAME WOULD BE UNLAWFUL. FURTHER, THIS ANNOUNCEMENT IS FOR INFORMATION PURPOSES ONLY AND SHALL NOT CONSTITUTE AN OFFER TO SELL OR ISSUE OR THE SOLICITATION TO BUY, SUBSCRIBE FOR OR OTHERWISE ACQUIRE ANY SECURITIES OF THE BITCOIN FUND (THE “FUND”) IN ANY JURISDICTION IN WHICH ANY SUCH OFFER OR SOLICITATION WOULD BE UNLAWFUL.

 

Dubai, United Arab Emirates, April 20, 2021 | 3iQ Digital Asset Management today announced that it has received its letter of ‘no further material comments’ from the Dubai Financial Services Authority in respect of its proposed listing of The Bitcoin Fund on Nasdaq Dubai. Listing is anticipated to be in the second quarter of this year. The Bitcoin Fund was launched on the Toronto Stock Exchange in 2020 as the world’s first regulated, major exchange-listed bitcoin fund. In listing on Nasdaq Dubai, The Bitcoin Fund will be the Middle East’s first listed digital asset-based fund, leveraging Dubai’s world-class regulatory environment that supports the growth of new economy businesses and investments.

“We believe that this is the opportune moment to expand this unique investment opportunity into the Middle East region. Since it’s launch in Canada, we have seen tremendous success with The Bitcoin Fund having achieved approximately US$1.37 billion assets under management. The fund truly provides investors a chance to get involved with a complex digital asset through a medium that is clear, concise and easy to understand,” said Frederick Pye, Chairman and CEO, 3iQ Corp.

3iQ has selected Dalma Capital, a global alternative investment platform, based in the Dubai International Financial Centre to be its syndicate manager for the regional expansion.

“We have prided ourselves in our ability to identify solutions for our clients in the alternative investment space. At Dalma Capital, we believe that The Bitcoin Fund from 3iQ offers an efficient solution for regional investors to access the asset class via a regulated investment vehicle with robust market infrastructure. We look forward to making this product available for clients on regional banking, wealth management and brokerage platforms,” said Zachary Cefaratti, CEO, Dalma Capital Management.

Globally, bitcoin has seen tremendous growth as the world’s leading digital asset with price peaking at US$60,000 per unit in March. The Bitcoin Fund brings titled, auditable ownership of bitcoin through a traditional investment vehicle to the region for the first time, allowing for a publicly quoted mechanism for exposure to an asset class that has experienced exceptional appreciation over the preceding decade.

3iQ has also appointed a number of other advisors in various capacities to support with the listing; 01 Capital a London based corporate finance advisor for the origination and execution of the listing, Razlin Capital a London based investment firm for advice on the listing and Pinsent Masons LLP as its legal counsel for the listing process.

Investors keen to learn more about The Bitcoin Fund can visit Nasdaq Dubai on https://www.nasdaqdubai.com/listing/listed-securities or 3iQ on https://www.3iq.ae

About 3iQ Corp.

Founded in 2012, 3iQ is Canada’s largest digital asset investment fund manager with more than C$2 billion in assets under management. 3iQ was the first Canadian investment fund manager to offer a public bitcoin investment fund, The Bitcoin Fund (TSX: QBTC, QBTC.U). 3iQ offers investors convenient and familiar investment products to gain exposure to digital assets. For more information about 3iQ and its digital asset investment funds, visit www.3iQ.ca or follow us on Twitter @3iQ_corp. 

About Dalma Capital Management

Dalma Capital is a global alternative investment platform and accelerator focused on alpha generating strategies with an inherent edge in emerging investment strategies and markets. Established in 2011 and headquartered in the Dubai International Finance Centre, Dalma Capital’s goal is to identify the next generation of alpha generating ‘edge’ fund managers, strategies and opportunities.

Dalma Capital is authorized and supervised by the Dubai Financial Services Authority (the “DFSA”) under a prudential category 3c license. The DFSA has no responsibility for reviewing or verifying any documents in connection with the Fund and, accordingly, has not approved this document nor taken any steps to verify the information set out herein and has no responsibility for it.

About 01 Capital

01 Capital is a London based corporate finance boutique. The firm has deep roots in traditional finance coupled with extensive knowledge of the new digital economy and first-hand experience with numerous digital asset projects. 01 Capital’s range of services includes capital markets advisory, corporate finance, network and token economics, fundraising, and consulting.

About Razlin Capital

Razlin Capital is a London-based, FCA regulated boutique investment advisory firm. The Razlin team is comprised of seasoned financial market professionals with backgrounds in Emerging and Frontier Markets sales, trading, investment advisory, deal making, and listing services. Together the team has over 100 years of experience of introducing esoteric and lesser-known capital markets to institutional investors around the globe. Razlin’s focus is to continue to build the bridge between the world of traditional finance and the world of emerging digital assets.

About Pinsent Masons

Pinsent Masons is an international law firm headquartered in London with 26 offices globally.  The firm has been in the Middle East for over thirty-five years. Headed by partner Tom Bicknell, the firm’s regional financial services team advises on capital markets, financial regulation, digital assets and fund management.

Press Contact

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Important Notices

THIS ANNOUNCEMENT AND THE INFORMATION CONTAINED THEREIN, IS RESTRICTED AND IS NOT FOR PUBLICATION, RELEASE OR DISTRIBUTION, IN WHOLE OR IN PART, DIRECTLY OR INDIRECTLY, IN OR INTO OR FROM CANADA OR THE UNITED STATES OR ANY JURISDICTION IN WHICH THE SAME WOULD BE UNLAWFUL.

This announcement should not be distributed, forwarded, transmitted or otherwise disseminated in or into Canada or the United States. This announcement does not constitute an offer to sell or issue or the solicitation of an offer to buy or subscribe for securities in Canada, the United States or any other jurisdiction. The Fund’s securities have not been and will not be qualified for distribution under applicable securities legislation in Canada (“Canadian Securities Laws”), or registered under the United States Securities Act of 1933, as amended (the “Securities Act”), or under the applicable securities laws of any state or other jurisdiction of the United States, and may not be offered, sold, resold, transferred or delivered, directly or indirectly within, into or in Canada or the United States, absent registration or an applicable exemption from, or except in a transaction not subject to, the registration requirements of Canadian Securities Laws or the Securities Act, as applicable, and in compliance with the securities laws of any relevant state or other jurisdiction of the United States.  Neither this announcement, nor the fact that it has been disseminated, shall form the basis of, or be relied upon in connection with, any future information that we distribute.

 

Nothing contained in this announcement constitutes or shall be deemed to constitute financial, legal, tax or other advice of any kind. This announcement is published solely for informational purposes and has no regard to the specific objectives, financial situation or particular needs of any person. Information contained herein is believed to be reliable, but no warranty is given as to its accuracy or completeness and views and opinions are subject to change without notice.

Information contained in this announcement in respect of the Fund or Units of the Fund should not be considered an offer to sell or a solicitation of an offer to buy or subscribe for the same.

This announcement is not directed to any person or entity who is a citizen or resident of or located in any locality, state, country or other jurisdiction where the content of this announcement would be contrary to law or regulation or which would subject us to any registration or licensing requirement within such jurisdiction. You expressly acknowledge that you are, as the case may be, an individual who is legally or authorised to seek information about the matters referred to or described on the announcement.

3iQ CORP. AND DALMA CAPITAL MANAGEMENT LIMITED, INCLUDING THEIR DIRECTORS, AGENTS, EMPLOYEES, CONTRACTORS AND SALES PARTNERS DISCLAIM, IN FULL ACCORDANCE WITH THE LAW IN FORCE, ANY LIABILITY FOR LOSSES OR DAMAGE OF ANY KIND ARISING DIRECTLY OR INDIRECTLY AS A RESULT OF: (1) THE CONTENT OF THE ANNOUNCEMENT, IN PARTICULAR ITS UP-TO DATE NATURE, ACCURACY AND COMPLETENESS (2) ERRORS OR OMISSIONS ON THE ANNOUNCEMENT; (3) USE OF OR ACCESS TO THE ANNOUNCEMENT; (4) INABILITY TO ACCESS OR USE THE ANNOUNCEMENT FOR ANY REASON.

3iQ CORP. AND DALMA CAPITAL MANAGEMENT LIMITED DISCLAIM, IN FULL ACCORDANCE WITH THE LAW IN FORCE, ANY LIABILITY FOR: (1) LOSS OF PROFITS, REVENUE, SAVINGS OR OTHER ECONOMIC LOSS; (2) LOSSES INCURRED DURING BUSINESS TRANSACTIONS OR OTHER LOSSES PERTAINING TO BUSINESS ACTIVITIES OR GOODWILL; (3) LOSS OF OR DAMAGE TO DATA; (4) INCIDENTAL OR SPECIAL DAMAGE; (5) WASTED OR LOST MANAGEMENT TIME; OR (6) INDIRECT OR CONSEQUENTIAL DAMAGE ARISING FROM THE USE OF OR ACCESS TO THE ANNOUNCEMENT, EVEN IF A PRIOR WARNING WAS GIVEN ABOUT SUCH LOSS OR DAMAGE, OR IF SUCH LOSS OR DAMAGE WAS FORESEEABLE.

Please read the Fund’s prospectus before investing. Important information about the Fund is contained in the prospectus. Copies of the prospectus may be obtained from 3iQ Corp. or Dalma Capital Management.

You will usually pay brokerage fees to your dealer if you purchase or sell units of the Fund on a stock exchange or other alternative trading system (an “exchange”).  If the units of the Fund are purchased or sold on an exchange, investors may pay more than the current net asset value when buying units of the Fund and may receive less than the current net asset value when selling them.

There are ongoing fees and expenses associated with owning units of an investment fund.  An investment fund must prepare disclosure documents that contain key information about the fund. You can find more detailed information about the Fund in its public filings. Investment funds are not guaranteed, their values change frequently and past performance may not be repeated.

Certain statements contained in this document constitute forward-looking information within the meaning of Canadian Securities Laws. Forward-looking information may relate to matters disclosed in this document and anticipated events or results and may include statements regarding the future financial performance of the fund’s managed by 3iQ. In some cases, forward-looking information can be identified by terms such as “may”, “will”, “should”, “expect”, “plan”, “anticipate”, “believe”, “intend”, “estimate”, “predict”, “potential”, “continue” or other similar expressions concerning matters that are not historical facts. Actual results may vary from such forward-looking information. Investors should not place undue reliance on forward-looking statements. These forward-looking statements are made as of the date hereof and we assume no obligation to update or revise them to reflect new events or circumstances.

 

Jean Desgagne

DIRECTOR

Jean Desgagne is a Director of 3iQ Digital Holdings Inc. Jean brings deep C-suite and Board experience within large multinational financial institutions, exchanges & market infrastructures, including TD, TMX and The Canadian Depository for Securities. He is a current and past Board Member for regulated financial companies, government agencies, industry associations, universities and not-for-profit organizations. He is an advisor to several startups and is CEO of Canada Stablecorp Inc. He is currently Chair of the Board for CPA Ontario, and a Director at CAA Club Group, CAA Insurance, Echelon Insurance and Orion Insurance. He Chairs the Internal Audit Committee for the Province of Ontario, I&IT Section and is an Executive in Residence at the Telfer School of Management.

Chris Jouppi

DIRECTOR

Chris Jouppi is a Director of 3iQ Digital Holdings Inc. Chris is a senior executive with over 40 years of progressive experience in risk management, electrical power, automation, medical device and professional services. Chris’ experience includes hands on involvement in technology, global marketing and sales, manufacturing operations, supply chain management, quality, finance, technology licensing, customer support, strategic planning and M&A.

Chris holds an MBA from Wilfred Laurier University and a BSc in Electrical Engineering at the University of Waterloo.

Pascal St-Jean

PRESIDENT

Pascal St-Jean is the President of 3iQ Corp.

Throughout his career, Pascal has focused on the transformation and disruption of industries via rapid scaling of businesses under his leadership. Having successfully created and grown multiple business ventures, Pascal was recognized as one of the youngest recipients of Ottawa’s Forty Under 40 award.

Pascal is the co-founder of STAND Advisors where he served as Strategic Advisor and Fractional Executive to over 5% of the Globe and Mail’s 500 fastest growing companies in Canada.  He is also a founding partner of Futuring– an executive coaching business, and the Chair of TEC Canada.

Pascal’s experience in open-source technologies and distributed systems led him to invest in cryptocurrency in 2016, and act as an educational resource on digital asset investments to several organizations. In addition, Pascal has served as a strategic consultant to bitcoin mining start-ups such as Hydra Mining and founded Quasar Strategy, a private multi-strategy Bitcoin fund.

John Loeprich

EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER & DIRECTOR

John Loeprich is the Executive Vice President, Chief Financial Officer, Chief Operating Officer and Director of 3iQ Corp. He is responsible for overseeing all aspects of operations, finance, and assisting with strategic planning.

John brings over 35 years of experience in the financial services industry, ranging from public accounting to finance and operations with multi-national corporations to finance and sales and marketing and strategic planning with a number of investment management firms.

John started his investment industry tenure at Fidelity Investments where he became Chief Financial Officer before starting his own business specializing in assisting companies launch themselves into the mutual fund market.

Prior to 3IQ, John was EVP & CFO at Qwest Investment Fund Management, helping grow the business into a profitable IFM/PM platform. Prior to Qwest, John was Senior Vice-President, Partner & head of the Private Client Division at Hillsdale Investment Management, responsible for Sale & Marketing to investment advisors and high net worth individuals. During his time at Hillsdale the firm’s assets grew from $12 million to over $500 million.

John is a Chartered Professional Accountant, Certified General Accountant and a graduate of the University of Waterloo (Bachelor of Mathematics).

Ashley Peters

Chief Compliance Officer

Ashley Peters is the Chief Compliance Officer at 3iQ Corp. Ms. Peters is an experienced Chief Compliance Officer and compliance consultant. Her experience in the Canadian investment industry has focused in compliance in IIROC, MFDA, exempt market dealer, investment fund manager and portfolio manager rules and regulations. Ms. Peters served as the Chief Compliance Officer for Solium Financial and Ross Smith Asset Management. As Chief Compliance Officer and Chief Anti-Money Laundering Officer, Ms. Peters oversaw the launch the Ross Smith Cryptocurrency Fund.

Ms. Peters is a past member of various IIAC and IIROC compliance committees and the IIROC Alberta District Council. Ashley has a background in finance and compliance.

Anthony Cox, CPA, ICD.D

EXECUTIVE VICE PRESIDENT & DIRECTOR

Tony Cox is the Executive Vice President and Director of 3iQ Corp. He is also a Director of 3iQ Digital Holdings Inc. Mr. Cox has more than 15 years of experience in Canada and the United Kingdom with major accounting firms and over 30 years of experience in the investment fund industry in Canada including eleven years as Chief Financial Officer of an investment fund manager subsidiary of Sun Life Assurance Company of Canada and eleven years with an investment fund manager subsidiary of National Bank Financial Inc.

Prior to joining 3iQ, Mr. Cox served as President of Canadian Fund Management Inc. and provided consulting and contract services to investment fund managers.

Mr. Cox has been very active in the investment fund industry, serving on many Investment Funds Institute of Canada committees and as a past director of Fundserv Inc.

Mr. Cox is currently a member of the Independent Review Committees of PIMCO Canada Funds, and Connor, Clark & Lunn Funds (chair). He is also a Board Member of The Duke of Edinburgh’s International Award – Ontario. He is a CPA, CA, and holds the ICD.D designation (ICD.D 2010).

Bruce Smith

DIRECTOR

Bruce Smith is a Director of 3iQ Digital Holdings Inc. Bruce is a Corporate Director and Senior Advisor for Strategic Initiatives at VanEck. Bruce joined VanEck back in 1983, and has been a director of various VanEck related entities such as the Van Eck Associates Corporation, Van Eck Securities Corporation, and the Van Eck Absolute Returns Advisers Corporation.

Prior to joining VanEck, Bruce served as a CPA at McGladrey & Pullen. He is a member of the American Institute of Certified Public Accountants (AICPA) and the New State Society of Certified Public Accountants (NYSSCPA). He holds FINRA Series 7, 27 and 63 Licenses, and has received a Bachelor of Science in Accounting from Fordham University in 1977 and a CPA designation in 1980.

Thomas G. Staudt

Director

Tom Staudt is a Director of 3iQ Digital Holdings Inc. Tom has been with ARK Investment Management (New York) for almost 7 years, and currently serves as ARK’s Chief Operating Officer, managing and overseeing the strategic operations of the firm, screens financial markets for new opportunities, and evaluates and implements ARK’s product portfolio. Tom earned the asset management industry’s 2020 Rising Star Award recognition from Fund Intelligence.

Prior to joining ARK, Tom worked in a media sales and consulting role for WILX. Before WILX, Tom spent time with Fidelity Investments in their mutual fund department, and he has also consulted on Millennial investing behavior to TIAA-CREF.

Tom received his Bachelor of Business Administration, magna cum laude, in Finance and Economics from the University of Notre Dame, a Master of Arts in Telecommunications Policy from Michigan State University, a Master of Science in New Media Management from the Newhouse School at Syracuse University, and his Master of Business Administration from Cornell University.

Tom is also currently the President of the ARK ETF Trust.

Valerie Hull

VP, Finance

Valerie Hull is the VP, Finance at 3iQ Corp. Valerie brings over 20 years of experience in the financial services and investment industry, with roles ranging from public accounting, internal audit, fund administration and finance with a number of investment management and investment firms.

Valerie is a Chartered Professional Accountant, Chartered Accountant, and Certified Management Accountant and is a graduate of the University of Waterloo (Masters of Accounting).

Richard Strauss

Director

Richard Strauss is a Director of 3iQ Digital Holdings Inc. Richard has over 25 years of experience in the U.S. securities industry.  Most of his career was spent at Goldman Sachs where he was a Senior Financial Services Analyst in charge of Investment Management, Brokerage, Investment Banking and Money Center Bank research coverage.

While at Goldman, he also played an important role in marketing the Firm’s 1999 IPO to institutional investors worldwide.  After leaving Goldman, Richard was a Director at Deutsche Bank covering Financial Services.  Earlier, he had been at Salomon Brothers, covering superregional and regional banks.

Currently, he is President and managing member of Kensington Partners, a trading operation. Richard holds both an MBA and BA from Cornell University.

Alex McDougall

Managing Director

Alex McDougall is a Managing Director at 3iQ. Alex analyzes companies throughout the full lifecycle from early-stage to multi-national institutions. Starting his career as an investment banker at the Bank of Montreal, Alex led multiple projects and teams across BMO Capital Markets, including in Fintech, M&A, and Financial Institutions. Alex helped lead the charge on several of Capital Market’s early blockchain and fintech initiatives and was recognized as a leader within the Investment Bank.

Alex left BMO in early 2018 to co-found Bicameral Ventures, a platform focused on “Interconnected Investing” and building a portfolio of highly complementary projects working towards bringing new technology paradigms into reality. Bicameral’s themes generally include blockchain, interoperability, data and identity self-sovereignty, personalized AI, and Web 3.0. Alex joined the 3iQ team in Q1 2021 as Managing Director – Product Development.

Ross McKee

DIRECTOR

Ross McKee is a Director of 3iQ Digital Holdings Inc. Ross has more than 35 years of experience as a Canadian capital markets and securities regulatory lawyer, recently retired from Blake, Cassels & Graydon LLP. During his legal practice at Blakes, Mr. McKee advised Canadian and foreign issuers, dealers, advisers, custodians, depositaries, and marketplaces on capital markets regulation and compliance issues, for traditional and new securities. His securities law experience also includes advising special committees of independent directors, mergers and acquisitions, and project finance. Since 2013, he has advised developers, issuers, and brokers on cryptocurrencies and digital asset funds, token foundations and blockchain protocols. Since his retirement from Blakes in 2019, Mr. McKee has acted as a legal consultant on securities law compliance, venture capital and blockchain-related matters. Mr. McKee is a graduate of Trinity College, University of Toronto (BA) and Queen’s University (LLB), where he taught securities regulation for five years.

Meltem Demirors

DIRECTOR

Meltem Demirors is a Director of 3iQ Digital Holdings Inc. Meltem is the Chief Strategy Officer of CoinShares, a publicly listed ($CS.ST) digital asset investment firm that manages $5B in assets, and is a trusted partner to investors and entrepreneurs navigating the digital asset ecosystem. Meltem oversees the firm’s corporate strategy, investments, and growth efforts. An established veteran of digital asset investing, Meltem draws on her substantial experience and widespread influence to accelerate growth and acceptance of the asset class. Prior to joining CoinShares, Meltem helped build and grow Digital Currency Group, raising capital from the world’s largest corporations and managing a portfolio of 120 companies and 4 subsidiaries. Before she was bitten with the bitcoin bug, Meltem worked in the Oil & Gas industry in trading, corporate treasury, and M&A roles. Meltem has been recognized for her personal contributions to the industry and serves as an outspoken advocate. She is a founding member of the World Economic Forum Blockchain Council and testified before the House Financial Services Committee. Meltem teaches at MIT and Oxford, and is cochair of the WEF Cryptocurrency Council and actively involved in and passionate about bitcoin education and advocacy efforts as well as causes related to civil rights and freedom of speech.

Anoop Dogra

Managing Director

Anoop Dogra is a Managing Director at 3iQ, responsible for product development, syndication and legal matters.

Prior to 3iQ, Anoop was a Director at BMO Capital Markets where he was responsible for originating, structuring and distributing innovative financial products, including mutual funds, alternative funds and closed-end funds, and prior to that, Anoop was a Partner at Blake, Cassels & Graydon LLP, where he practiced securities and corporate law.

Anoop holds a Bachelor of Laws from Western University, a Master of Business Administration from Saint Mary’s University, and a Bachelor of Commerce from Guru Nanak Dev University (India), and is a member of the Law Society of Ontario.

Christopher Matta

PRESIDENT OF 3iQ DIGITAL ASSETS (US)

Chris is the President of 3iQ Digital Assets (US).

Chris also serves as the President and Founder of the Blockchain Association of New Jersey, which advocates for innovative regulatory leadership and enterprise collaboration for the cryptocurrency space.

Prior to joining 3iQ, Chris was the Co-Founder of Crescent Crypto, an asset management firm focused on creating innovative investment solutions to bring the cryptocurrency asset class to institutional and mainstream investors. Previously, Chris was a Vice President at Goldman Sachs where he managed assets for the Goldman Sachs Philanthropy Fund and Trust Company.

Kevin Jiang

Portfolio Manager and Head of Trading

Kevin Jiang is the Head of Trading and Operations at 3iQ Corp.

Kevin brings 10 years of experience in securities trading, investment, and asset management. Prior to joining 3iQ, Kevin was the Head of Fixed Income Department at Guosheng Securities Asset Management where he oversaw asset under management growth of over $1 billion. Previously Kevin was Head of Trading of Fixed Income Department at CITIC Securities.

Francois Dionne St-Arneault

Director of Product and Sales

François is the Director of Products and Sales for Canada at 3iQ Corp. Prior to joining 3iQ, François was the Co-Founder of sept24, a full-service communications & marketing agency based in Quebec. François has worked with innovative and forward-thinking companies in assisting to bring their products and services to market. François brings more than 15 years of experience in marketing and sales to 3iQ. François holds a Bachelor of Business Administration from the Université de Sherbrooke.

Connor Loewen

Cryptocurrency Analyst

Connor Loewen is 3iQ’s cryptocurrency analyst. Connor has been involved with bitcoin and other digital assets for over 5 years. Connor holds a Bachelor of Business Administration from Capilano University and has completed the Canadian Securities Course. During university, Connor served as the Director of Finance for the Capilano Finance Association for three years, where he led student investment workshops and lectured full-sized classes on managing equities, derivatives, and digital assets. Connor had previously worked in the TSX Venture industry, and at Toronto-Dominion Bank.

Louis LaValle

Managing Director, 3iQ Digital Assets (US)

Louis LaValle is Managing Director and co-head of Distribution for 3iQ Digital Assets (US) with over 17 years of financial industry experience. Prior to joining 3iQ, Louis held senior roles across the alternative investment industry at Neuberger Berman, BNY Mellon (EACM Advisors), Legg Mason (Permal Group) and SkyBridge Capital. Prior to this, he was an investment analyst at Morgan Stanley and Credit Suisse First Boston. He received a BA, cum laude, from New York University.

Kevin Aikman-Carter

MARKETING COORDINATOR

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Thomas Rose

Managing Director, 3iQ Digital Assets (US)

​Tom Rose is Managing Director and co-head of Distribution at 3iQ Digital Assets (US) with 25 years of business development and relationship manager experience including 18 years in the investment management industry. Prior to joining 3iQ, he was with Neuberger Berman responsible for building the intermediary business on the West Coast, engaging with RIAs and multi-family offices. Previously, he was with BlackRock and managed the institutional Core-West team covering foundations, endowments, and pension plans (both corporate and public) and was responsible for growing the institutional business across the BlackRock platform and developing talent. Before the acquisition of Barclays Global Investors (BGI) Tom was a senior member of the Client Connect team. Tom received a BA, from TCU and MBA from the University of San Francisco. Tom holds the CFA designation and sits on the Board for the Peter Pan Foundation.

Thomas G. Staudt

DIRECTOR

Tom Staudt is a Director of 3iQ Digital Holdings Inc. Tom has been with ARK Investment Management (New York) for almost 7 years, and currently serves as ARK’s Chief Operating Officer, managing and overseeing the strategic operations of the firm, screens financial markets for new opportunities, and evaluates and implements ARK’s product portfolio. Tom earned the asset management industry’s 2020 Rising Star Award recognition from Fund Intelligence.

Prior to joining ARK, Tom worked in a media sales and consulting role for WILX. Before WILX, Tom spent time with Fidelity Investments in their mutual fund department, and he has also consulted on Millennial investing behavior to TIAA-CREF.

Tom received his Bachelor of Business Administration, magna cum laude, in Finance and Economics from the University of Notre Dame, a Master of Arts in Telecommunications Policy from Michigan State University, a Master of Science in New Media Management from the Newhouse School at Syracuse University, and his Master of Business Administration from Cornell University.

Tom is also currently the President of the ARK ETF Trust.

Richard Strauss

DIRECTOR

Richard Strauss is a Director of 3iQ Digital Holdings Inc. Richard has over 25 years of experience in the U.S. securities industry.  Most of his career was spent at Goldman Sachs where he was a Senior Financial Services Analyst in charge of Investment Management, Brokerage, Investment Banking and Money Center Bank research coverage.

While at Goldman, he also played an important role in marketing the Firm’s 1999 IPO to institutional investors worldwide.  After leaving Goldman, Richard was a Director at Deutsche Bank covering Financial Services.  Earlier, he had been at Salomon Brothers, covering superregional and regional banks.

Currently, he is President and managing member of Kensington Partners, a trading operation. Richard holds both an MBA and BA from Cornell University.

Frederick T. Pye

CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR

Frederick T. Pye is the Chairman, Chief Executive Officer and Director of 3iQ Corp. He is also the Chairman and Director of 3iQ Digital Holdings Inc. Mr. Pye is recognized for creating and promoting creative and unique investment products for the investment industry.

Mr. Pye has managed private client portfolios with Landry Investment Management and various other investment dealers. Prior to this Mr. Pye was Founder, President & Chief Executive Officer of Argentum Management and Research Corporation, a company dedicated to managing and distributing quantitative investment portfolios including the first long-short mutual fund in Canada.

He was also Senior Vice-President and National Sales Manager of Fidelity Investments Canada and an integral part of the team that saw assets rise from $80 million to over $7.5 billion in assets under management during his tenure. He also held various positions with Guardian Trust Company, which listed the first Gold, Silver and Platinum Certificates on the Montreal Exchange.

Mr. Pye obtained a Masters in Business Administration from Concordia University.