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BlueMountain Key Personnel
Access to the restricted area of the website is limited to: (i) for U.S. investors, existing BlueMountain investors and certain qualified prospective investors who are both “accredited investors” (as defined in Regulation D promulgated under the Securities Act of 1933 and “qualified purchasers” under the Investment Company Act of 1940; and (ii) for UK investors, persons falling within an exemption from the financial promotion restriction in section 21 of the Financial Services and Markets Act 2000 (the "FSMA"), pursuant to the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (as amended, the "FPO"). The questionnaires below will assist us in determining your eligibility for access to the website.
Required fields (*)
Street Address 1:
Street Address 2:
British Virgin Islands
Mariana Islands (Pacific)
VI U.S. Virgin Islands
Antigua & Barbuda
Bosnia & Herzegovina
British Virgin Islands
Cape Verde Islands
Central African Rep.
Chile, Rep. of
Cocos (Keeling) Islands
Congo, Democratic Rep. of
Congo, Rep. of the
Cote d'Ivoire (Ivory Coast)
Guam, US Territory of
Iran, Islamic Rep. of
Libyan Arab Jamahiriya
Micronesia, Federated States of
Moldova, Rep. of
Papua New Guinea
Sao Tome & Principe
St. Kitts & Nevis
St. Pierre & Miquelon
St. Vincent & the Grenadines
Syrian Arab Rep.
Trinidad & Tobago
Turks & Caicos Islands
United Arab Emirates
Virgin Islands (USA)
Wallis & Futuna Islands
Yugoslavia - Montenegro
Yugoslavia - Serbia
Name of investing company:
(if different from above)
Type of investing company:
Fund of Funds
HNW – Accredited
HNW – Qualified
Are you a UK investor?:
Does your individual net worth, or joint net worth with your spouse,
currently exceed $1,000,000?
If no, has your individual income been in excess of $200,000, or has your joint income with your spouse been in excess for $300,000, in each of the two most recent years. If yes, do you reasonably expect to reach the same income level in the current year?
Is your net worth more than ten times the investment you are considering?
Total AUM (USD, mm):
Total amount invested in
hedge funds (USD, mm):
Does your firm have the ability to invest in longer-term locked vehicles?
Total staff member count:
Accredited Investor Questionnaire
For Individual Investors
A natural person with an individual net worth (or joint net worth with spouse) in excess of US$1,000,000. For purposes of this questionnaire, “net worth” means the excess of total assets at fair market value, including home, home furnishings and automobiles, over total liabilities.
A natural person with an individual income (exclusive of any income attributable to spouse) of more than US$200,000 in each of the past two years or joint income with spouse in excess of US$300,000 in each of those years and who reasonably expects to reach the same income level in the current year.
For Corporations, Foundations, Endowments, Limited Liability Companies or Partnerships
A corporation, Massachusetts or similar business trust, limited liability company or partnership with total assets in excess of US$5,000,000 and was not formed for the specific purpose of acquiring any specific security.
An entity, all of the equity owners of which are “accredited investors.”
A trust with total assets in excess of US$5,000,000 that was not formed for the specific purpose of acquiring any specific security and whose purchases of securities are directed by a person who has such knowledge and experience in financial and business matters that he or she is capable of evaluating the merits and risks of prospective investments.
A bank as defined in Section 3(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) or a savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act, acting in a fiduciary capacity and subscribing for the purchase of the securities being offered on behalf of a trust account or accounts.
A revocable trust that may be amended or revoked at any time by the grantors thereof and all of such grantors are “accredited investors.”
For Banks, Savings and Loans and Similar Institutions
A bank as defined in Section 3(a)(2) of the Securities Act or a savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act acting in its individual capacity.
For Insurance Companies
An insurance company as defined in Section 2(13) of the Securities Act.
For Employee Benefit Plans
An employee benefit plan within the meaning of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), whose decision to invest is made by a plan fiduciary (as defined in Section 3(21) of ERISA), which is either a bank, savings and loan association, insurance company or registered investment adviser.
An employee benefit plan within the meaning of ERISA that either (i) has total assets in excess of US$5,000,000 or (ii) if a self-directed plan, the investment decisions of which are made solely by persons that are “accredited investors.”
A plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its political subdivisions for the benefit of its employees, with total assets in excess of US$5,000,000.
For Individual Retirement Accounts, Keogh Plans and Self-Directed Benefit Plans
An individual retirement account, Keogh Plan or other self-directed plan (i.e., a tax-qualified defined contribution plan in which a participant may exercise control over the investment of assets credited to his or her account) in which all of the participants are “accredited investors.”
For Charitable Tax-Exempt Entities
An organization described in Section 501(c)(3) of the U.S. Internal Revenue Code of 1986, as amended, not formed for the specific purpose of acquiring any specific security, with total assets in excess of US$5,000,000.
Qualified Purchaser Questionnaire
For Individual Investors
A natural person (including any person who holds a joint, community property or other similar shared ownership interest in the securities to be purchased with that person’s “qualified purchaser” spouse) who owns not less than US$5,000,000 in “investments.”
For Entity Investors
A company, partnership or trust not formed for the specific purpose of acquiring any specific security that owns not less than US$5,000,000 in “investments” and that is owned directly or indirectly by or for two or more natural persons who are related as siblings or spouse (including former spouses), or direct lineal descendants by birth or adoption, spouses of such persons, the estates of such persons, or foundations, charitable organizations or trusts established by or for the benefit of such persons (a “Family Company”).
A trust not formed for the specific purpose of acquiring any specific security that is not covered as a Family Company as to which the trustee or other person authorized to make decisions with respect to the trust, and each settlor or other person who has contributed assets to the trust, is considered a “qualified purchaser” (other than by reason of the provisions of this clause).
A person, acting for its own account or the accounts of other “qualified purchasers,” not formed for the specific purpose of acquiring any specific security, who in the aggregate owns and invests on a discretionary basis not less than US$25,000,000 in “investments.”
A “qualified institutional buyer” (as defined in paragraph (a) of Rule 144A under the Securities Act of 1933, as amended), acting for its own account, the account of another “qualified institutional buyer,” or the account of a “qualified purchaser,” provided that (i) a dealer described in paragraph (a)(1)(ii) of Rule 144A shall own and invest on a discretionary basis at least US$25,000,000 in securities of issuers that are not affiliated persons of the dealer and (ii) a plan referred to in paragraph (a)(1)(D) or (a)(1)(E) of Rule 144A, or a trust fund referred to in paragraph (a)(1)(F) of Rule 144A that holds the assets of such a plan, will not be deemed to be acting for its own account if investment decisions with respect to the plan are made by the beneficiaries of the plan, except with respect to investment decisions made solely by the fiduciary, trustee or sponsor of such plan.
A company, partnership or trust, each beneficial owner of the securities of which is a “qualified purchaser.” Note that the basis for qualifying as a “qualified purchaser” as described in this clause does not apply to beneficiaries of an irrevocable trust.
The term “investments” means any or all (1) securities (as defined in the Securities Act of 1933, as amended (the “Securities Act”), except for securities of issuers controlled by the potential investor (“Control Securities”) unless the (A) issuer of the Control Securities is itself a registered or private investment company or is exempted from the definition of investment company by Rule 3a-6 or Rule 3a-7 under the Investment Company Act of 1940, as amended, (B) the Control Securities represent securities of an issuer that files reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, (C) the issuer of the Control Securities has a class of securities listed on a designated offshore securities market under Regulation S of the Securities Act, or (D) the issuer of the Control Securities is a private company with shareholders’ equity not less than $50 million determined in accordance with generally accepted accounting principles, as reflected in the company’s most recent financial statements (provided such financial statements were issued within 16 months of the date of the potential investor’s purchase of the securities under consideration); (2) futures contracts or options thereon held for investment purposes; (3) physical commodities held for investment purposes; (4) swaps and other similar financial contracts entered into for investment purposes; (5) real estate held for investment purposes; and (6) cash and cash equivalents held for investment purposes.
Note: In determining whether the $5 million or $25 million thresholds are met, investments can be valued at cost or fair market value as of a recent date. If investments have been acquired with indebtedness, the amount of the indebtedness must be deducted in determining whether the threshold has been met.
UK Investor Questionnaire
For Individual Investors
A natural person who is an "investment professional" within the meaning of article 19(5) of the FPO, including a person authorized by the UK's Financial Services Authority (the "FSA") to conduct regulated activities in the UK, or any other person whose ordinary activities involve him in investing in funds that are not authorized or recognized by the FSA, for the purposes of a business carried on by him.
A natural person who is a "certified sophisticated investor" within the meaning of article 50(1) of the FPO, being a person to whom a certificate signed by an FSA-authorized person has been issued within the three years prior to each occasion that the restricted area of the website is accessed, and who has signed a statement in the prescribed form during the year prior to each occasion that the restricted area of the website is accessed.
A natural person who has invested in a BlueMountain fund within the twelve months prior to each occasion that the restricted area of the website is accessed and who, at that time, either (i) was not a resident in the UK nor having a place of business there, or (ii) in any other case, had invested in a BlueMountain fund as an overseas investor within the twelve months preceding that.
For Corporations, Unincorporated Associations and Partnerships
A body corporate that satisfies either of the following size requirements: (i) it has more than 20 members (or is the subsidiary of a parent undertaking which has more than 20 members), and it (or a group company) has a called-up share capital or net assets of not less than £500,000; or (ii) it (or a group company) has a called-up share capital or net assets of not less than £5 million.
An unincorporated association or partnership which has net assets of not less than £5 million.
The trustee of a trust where the aggregate value of the cash and investments which form part of the trust's assets (before deducting the amount of its liabilities) either (a) is £10 million or more; or (b) will have been £10 million or more at any time during the year prior to accessing the restricted area of the website.
If you are a "certified sophisticated investor" within the meaning of article 50(1) of the FPO, you should note that the content of this part of the Website is exempt from the general restriction in section 21 of the Financial Services and Markets Act 2000 (the "FSMA") on the ground that it is made available to you as a certified sophisticated investor. This part of the Website has not been approved by an authorised person, and such approval is required under the FSMA unless an exemption applies. Relying upon this part of the Website for the purpose of engaging in any investment activity may expose you to a significant risk of losing all of the property invested or of incurring additional liability. If you are in any doubt about the investments to which this part of the Website relates, you should consult an authorised person specialising in advising on investments of the kind in question.
Please indicate the fund(s) for which you are interested in receiving information
Credit Alternatives Fund
Flagship multi-strategy fund. Relative value strategies across credit, equities and equity derivativ
Equity Alternatives Fund
Relative value investing in equity volatility and derivatives.
Long/Short Credit Fund
Fundamental relative value strategies in single name credit & equities
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*The user acknowledges that he or she received a password from BlueMountain and is authorized by BlueMountain to access this site. For regulatory disclosures click