deeproot Funds Investor Pre-Qualification Form

Please Read Before You Continue:

This form is for INVESTORS only. Please contact us directly if you are an agent, advisor, or broker.

Thank you for your interest in our proprietary Private Equity investment funds. For some types of funds, current regulations require you to provide specific investment and personal background information before we can release detailed fund information to you. This is for your protection as well as ours. Additional and more sensitive information (e.g. supporting documents, date of birth, social security number) will be obtained offline after a thorough review process.

Upon submission, we will perform required due diligence on your submission. We may ask for supporting documents such as bank statements, IRS forms, and/or financial statements. After being approved through the due diligence process, we will forward an Application/PPM/Subscription Packet to your selected destination for you to review.

Privacy Policy, Security: The information you submit is through a secure form and will never be disseminated or sold to any one else. We use this information to comply with regulatory requirements, confirm product suitability, and prepare your application. You can expect a prompt call or email from us confirming the receipt of your information. Lastly, we record your IP address and other data to track users who attempt to send false information or unsolicited advertisements using our secure systems.

Rule 501(a) Qualification

Choose One*
My net worth (either individually or with my spouse, if any) including investments in all property or other assets excluding my primary residence, is in excess of $1 million.
My individual annual income was in excess of $200,000 in each of the two most recent years and I expect such income in the current year.
My income jointly with my spouse is in excess of $300,000 in each of the two most recent years and I expect such income in the current year.
I represent a legal entity and all of the entity’s equity owners meet at least one of the three tests listed above.
I hereby affirmatively represent that I am an accredited investor as defined in SEC Rule 501 under Regulation D for one or more of the forgoing reasons which I decline specifically due to issues of financial privacy.
I am not an accredited investor under the foregoing definitions, but am nevertheless sophisticated, have the ability to protect my own interests, and am well versed in understanding, choosing, and maintaining my own investments.
I am not an accredited investor under the foregoing definitions, and am unsure whether I have the ability to protect my own interests by understanding, choosing, and maintaining my own investments.

Suitability

Liquidity Needs (e.g. Some of our funds do not permit liquidity) *
I will need access to all of my investment before the end of the term.
I will need access to some of my investment before the end of the term.
I do not anticipate needing access to my investment during the initial term.
Previous Investment Experience *
Decision Making *
I rely on an investment advisor or professional for all my investment decisions.
I consult with an investment advisor or professional, but make my own investment decisions.
I rely on my own investment knowledge and skillset to make my own investment decisions.
Who should we send the Application Packet to? *
To me
To my Financial Rep/Advisor/Broker (below)

Prospective Investment

In a few words, why is deeproot Funds right for your investment objectives or goals? *

Your Infomation

Terms of Use

The Terms of Use were last modified on July 7, 2014.

deeproot® Capital Management, LLC, a Texas Limited Liability Company, is pleased to provide you with the products, services, content, tools, and information on all deeproot® Sites (the term “deeproot® Sites”, plural or singular, or “Sites”, plural or singular, refers to all deeproot® websites as well as to the content on them). Your use of any of the deeproot® Sites is subject to the following Terms of Use (“Terms”). These Terms are a binding contract between you and the deeproot® entities listed below, as well as their affiliates (“deeproot®”, “we”, “our”, or “us”). By using or accessing the deeproot® Sites, you accept and agree to be bound by these Terms. Your use of any of the deeproot® Sites connotes your voluntary acceptance of the version of the Terms in effect on the date such Site is accessed by you. deeproot® may modify these Terms at any time without prior notice to you. These Terms are in addition to any other agreements between you and deeproot®, including any investor or account agreements, and any other agreements that govern your use of products, services, content, tools, and information available on the deeproot® Sites.

ENTITIES & CONTACTS

deeproot® Capital Management, LLC is the parent company of deeproot® Funds, LLC and each subsidiary fund company. You may contact deeproot® at 8200 IH-10 West, Ste. 600, San Antonio, TX 78230.

USE OF SITES

The deeproot® Sites are intended only for your personal, non-commercial use, and may not be used for any commercial use that could directly or indirectly infringe, harm, or compete with deeproot®

All the information on deeproot® Sites are published in good faith and for general information purpose only. We do not make any warranties about the completeness, reliability and accuracy of this information. Any action you take upon the information on our website is strictly at your own risk, and we will not be liable for any losses and damages in connection with the use of any of the deeproot® Sites. From within each deeproot® Site, you can visit other websites by following hyperlinks to those external websites. While we strive to provide only links to useful and ethical websites, we have no control over the content and nature of these external websites and such links to external websites do not imply a recommendation for all the content found on them. In addition, when you leave any of the deeproot® Sites, the external websites will likely have different Terms of Use and Privacy Policies, which are beyond our control.

DOMESTIC USE ONLY

The deeproot® Sites are intended to be made available only to persons in the United States, and the information on any of the deeproot® Sites are only for such persons.

NO SOLICITATION DISCLAIMER

Nothing on any of the deeproot® Sites shall be considered a solicitation to buy or an offer to sell a security, or any other product or service, to any person in any jurisdiction where such offer, solicitation, purchase, or sale would be unlawful under the laws of such jurisdiction.

NO INVESTMENT RECOMMENDATIONS OR PROFESSIONAL ADVICE BY deeproot® FUNDS

deeproot Capital Management, LLC and deeproot® Funds, LLC do not provide tax, legal, insurance, or investment advice, and nothing on the deeproot® Sites, for the same, should be construed as an offer to sell, a solicitation of an offer to buy, or a recommendation for any security by deeproot®, or any third party. However, the Online Application, Prospect Form, Pre-Qualification Form, or any other interactive forms available on the deeproot® Sites may be deemed to provide general investment advice based upon your personalized input. By using such applications or forms on any of the deeproot® Sites, you expressly waive any solicitation queries by such voluntary and intentional use.

INTELLECTUAL & COPYRIGHT POLICY, LINKING POLICY, AND TRADEMARKS

The deeproot® Sites are protected by applicable copyright laws. Accordingly, you may not copy, distribute, modify, post, or frame any of our Sites, including any text, graphics, video, audio, software code, user interface design, or logos without our prior written permission.

All Online Materials, including, without limitation, text, graphics, software, names, logos, trademarks, service marks, trade names, images, photos, illustrations, audio clips, video clips, software code, user interface design, and music are copyrighted intellectual property. All usage rights are owned and controlled by deeproot Capital Management, LLC. You may download Online Materials for non-commercial, personal use only provided you 1) retain all copyright, trademark and propriety notices, 2) you make no modifications to the materials, 3) you do not use the materials in a manner that suggests an association with any of our products, services, events, or brands, and 4) you do not download quantities of materials to a database, server, or personal computer for reuse for commercial purposes. You may not, however, copy, reproduce, modify, republish, upload, post, frame (iframe or otherwise), transmit or distribute Online Materials in any way or for any other purpose unless you get our written permission first. Neither may you add, delete, distort or misrepresent any content on this website. Any attempts to modify any Online Material, or to defeat or circumvent our security features is prohibited and will be prosecuted to the full extent of the law. Everything you download, any software, plus all files, all images incorporated in or generated by the software, and all data accompanying it, is considered licensed to you by us or third-party licensors for your personal, non-commercial home use only. We do not transfer title of the software to you. That means that we retain full and complete title to the software and to all of the associated intellectual-property rights. You’re not allowed to redistribute or sell the material or to reverse-engineer, disassemble or otherwise convert it to any other form that you or any third party can use.

THIRD-PARTY CONTENT AND SITES

The deeproot® Sites may include general news and information, commentary, interactive tools, quotes, research reports, and data concerning the financial markets, securities, and other subjects. Some of that content is supplied by companies that are not affiliated with us (“Third-Party Content”). Whether Third-Party Content is framed on a deeproot® Site or available through a link to a third-party site, we do not prepare, edit, or endorse Third-Party Content; nor do we guarantee its accuracy, timeliness, completeness, or usefulness, and as a result, we are not responsible or liable for any content, advertising, products, or other materials on or available from third-party sites. You will use Third-Party Content only at your own risk.

PROHIBITED USES

You are expressly prohibited from using our servers in any manner that would interfere with any other party’s use of the same.

PUBLIC VERSUS SECURE CONTENT ACCESS

All of the deeproot® Sites are designed with responsive markup. This means that you should be able to properly access public or secure content by most common forms of devices, such as desktop or laptop browsers, mobile phone browsers, or tablet browsers.

Certain parts of the deeproot® Sites are protected by passwords or require a login. You may not obtain or attempt to obtain unauthorized access to such parts of any deeproot® Site, or to any other protected materials or information, through any means not intentionally made available by us for your specific use. In other words, all secure content restricted or protected by passwords, encryption or login are meant only for those parties with the authority to access it. All other content is public and meant for any user accessing such content within the limited scope as set forth within these Terms.

PRIVACY POLICY

Your use of any deeproot® Site also includes your implicit acceptance of our Privacy Policy

DISCLAIMER OF WARRANTIES

deeproot® DOES NOT MAKE ANY EXPRESS OR IMPLIED WARRANTIES, INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NONINFRINGEMENT ABOUT ANY OF THE SITES COVERED HEREIN. THE SITES ARE MADE AVAILABLE TO YOU “AS IS” AND “AS AVAILABLE”.

LIMITATION OF LIABILITY

deeproot® WILL NOT BE LIABLE FOR ANY DAMAGES OR INJURY THAT ACCOMPANY OR RESULT FROM YOUR USE OF ANY OF OUR SITES. THESE INCLUDE (BUT ARE NOT LIMITED TO) DAMAGES OR INJURY CAUSED BY ANY:

  • USE OF (OR INABILITY TO USE) THE SITE
  • USE OF (OR INABILITY TO USE) ANY SITE TO WHICH YOU HYPERLINK FROM OUR SITE
  • FAILURE OF OUR SITE TO PERFORM IN THE MANNER YOU EXPECTED OR DESIRED
  • ERROR ON OUR SITE
  • OMISSION ON OUR SITE
  • INTERRUPTION OF AVAILABILITY OF OUR SITE
  • DEFECT ON OUR SITE
  • DELAY IN OPERATION OR TRANSMISSION OF OUR SITE
  • COMPUTER VIRUS OR LINE FAILURE

PLEASE NOTE THAT WE ARE NOT LIABLE FOR ANY DAMAGES, INCLUDING:

  • DAMAGES INTENDED TO COMPENSATE SOMEONE DIRECTLY FOR A LOSS OR INJURY
  • DAMAGES REASONABLY EXPECTED TO RESULT FROM A LOSS OR INJURY (KNOWN IN LEGAL TERMS AS “CONSEQUENTIAL DAMAGES.”)
  • OTHER MISCELLANEOUS DAMAGES AND EXPENSES RESULTING DIRECTLY FROM A LOSS OR INJURY (KNOWN IN LEGAL TERMS AS “INCIDENTIAL DAMAGES.”)
  • DAMAGES INCIDENTAL TO A TRANSACTION (INCLUDING BUT NOT LIMITED TO LOST BUY, SELL OR WITHDRAWAL REQUESTS, LOST PROFITS, TRADING LOSSES, OR DAMAGES THAT RESULT FROM USE OR LOSS OF USE OF OUR SITES OR ANY THIRD-PARTY CONTENT; INCONVENIENCE; OR DELAY). THIS IS TRUE EVEN IF WE HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES OR LOSSES.
  • WE ARE NOT LIABLE EVEN IF WE’VE BEEN NEGLIGENT OR IF OUR AUTHORIZED REPRESENTATIVE HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES OR BOTH.

FURTHERMORE, deeproot® WILL NOT BE LIABLE TO YOU OR ANYONE ELSE FOR ANY LOSS RESULTING FROM A CAUSE OVER WHICH WE DO NOT HAVE DIRECT CONTROL. THIS INCLUDES FAILURE OF ELECTRONIC OR MECHANICAL EQUIPMENT OR COMMUNICATIONS LINES (INCLUDING TELEPHONE, CABLE, AND INTERNET), UNAUTHORIZED ACCESS, VIRUSES, THEFT, OPERATOR ERRORS, SEVERE OR EXTRAORDINARY WEATHER (INCLUDING FLOOD, EARTHQUAKE, OR OTHER ACT OF GOD), FIRE, WAR, INSURRECTION, TERRORIST ACT, RIOT, LABOR DISPUTE AND OTHER LABOR PROBLEMS, ACCIDENT, EMERGENCY, OR ACTION OF GOVERNMENT.

EXCEPTION: CERTAIN STATE LAWS MAY NOT ALLOW US TO LIMIT OR EXCLUDE LIABILITY FOR THESE “INCIDENTAL” OR “CONSEQUENTIAL” DAMAGES. IF YOU LIVE IN ONE OF THOSE STATES, THE ABOVE LIMITATION OBVIOUSLY WOULD NOT APPLY WHICH WOULD MEAN THAT YOU MIGHT HAVE THE RIGHT TO RECOVER THESE TYPES OF DAMAGES. HOWEVER, IN ANY EVENT, OUR LIABILITY TO YOU FOR ALL LOSSES, DAMAGES, INJURIES, AND CLAIMS OF ANY AND EVERY KIND (WHETHER THE DAMAGES ARE CLAIMED UNDER THE TERMS OF A CONTRACT, OR CLAIMED TO BE CAUSED BY NEGLIGENCE OR OTHER WRONGFUL CONDUCT, OR THEY’RE CLAIMED UNDER ANY OTHER LEGAL THEORY) WILL NOT BE GREATER THAN THE AMOUNT YOU PAID IF ANYTHING TO ACCESS OUR SITE.

INDEMNIFICATION

As a condition of your use of any of the deeproot® Sites, you agree to indemnify and hold deeproot® and its third-party providers harmless from and against any and all claims, losses, liability, costs, and expenses (including but not limited to attorneys’ fees) arising from your use of our Sites, or from your violation of these Terms.

TERMINATION

This agreement is effective until terminated by you or us. You may terminate this agreement at any time, by destroying all materials obtained from any of the deeproot® Sites, refraining from accessing the same, along with destroying all related documentation and all copies and installations. We may terminate this agreement at any time and without notice to you, if, in our sole judgment, you breach any term or condition of this agreement. This include, but is not limited to, refusing to allow you to access any secure content, even if such secure content is otherwise due or owed to you by any other agreements. Upon termination, you must destroy all materials. We are entitled to terminate all or any part of any deeproot® Site, without notice to you. We may modify these Terms of Use, and the agreement they create, at any time, simply by updating this posting and without notice to you. This is the ENTIRE agreement regarding all the matters that have been discussed.

GOVERNING LAW AND FORUM

Unless otherwise agreed, these Terms and their enforcement are governed by the laws of the State of Texas, United States of America, without regard to conflicts of law, and shall inure to the benefit of deeproot®’s successors and assigns, whether by merger, consolidation, or otherwise.

SEVERABILITY

If a court of competent jurisdiction deems any provision unenforceable, that provision will be enforced to the maximum extent permissible, and the remaining provisions will remain in full force and effect.

© 2013+ deeproot Capital Management, LLC

Privacy Policy

The Privacy Policy was last modified on July 7, 2014.

deeproot® Capital Management, LLC, a Texas Limited Liability Company, is pleased to provide you with the following Privacy Policy (“Policy”) effective on all deeproot® Sites (the term “deeproot® Sites”, plural or singular, or “Sites”, plural or singular, refers to all deeproot® websites). Your use of any of the deeproot® Sites connotes your voluntary acceptance of the version of this Policy in effect on the date such Site is accessed by you. deeproot® may modify this Policy at any time without prior notice to you.

What information do we collect?

While you have the option to visit our Sites in a quasi-anonymous state, if you register on any of our Sites or fill out a form, we will collect any such information you have submitted to us. We may also collect non-submitted information that your browser or computer freely provides to us.

What do we use your information for?

Any of the information we collect from you may be used in one of the following ways:

  • To respond to a query
  • To register you for secure or authorized access
  • To discuss or disseminate information to your authorized agent, representative or broker.
  • In secure areas, to provide relevant, authorized content to you about your account, or to communicate with you (whether by your query or ours)
  • To personalize your experience (your information helps us to better respond to your individual needs as you browse our Sites)
  • To improve our Site(s) (we continually strive to improve our Site offerings based on the information and feedback we receive from you)
  • To administer a contest, promotion, survey or other site feature

How do we protect your information?

We implement a variety of security measures to maintain the safety of your personal information when you enter, submit, or access your personal information.

What information do You have a right to Change or Restrict?

If you are an anonymous user, and have no pre-existing or current relationship with deeproot®, you can restrict the information we collect by ceasing to use or access our Sites.

If you have a login or password to one or more of our secure content areas, you may change your password or other login credentials at any time, as long as one or more of your login credentials do not conflict with another user’s credentials. Otherwise, you do not have the right to change or restrict the information we collect about you, as such information is defined herein.

Do we use cookies?

Yes (Cookies are small files that a site or its service provider transfers to your computers hard drive through your Web browser (if you allow) that enables the sites or service providers systems to recognize your browser and capture and remember certain information. We use cookies to understand and save your preferences for future visits and compile aggregate data about site traffic and site interaction so that we can offer better site experiences and tools in the future.

Do we disclose any information to outside parties?

We do not sell, trade, or otherwise transfer to outside parties your personally identifiable information. This does not include trusted third parties who assist us in operating our website, conducting our business, or servicing you, so long as those parties agree to keep this information confidential. We may also release your information when we believe release is appropriate to comply with the law, enforce our site policies, or protect ours or others rights, property, or safety. While we do not intend to do so, we expressly reserve the right to convey non-personally identifiable visitor information to other parties for marketing, advertising, or other uses.

Third party links

Occasionally, at our discretion, we may include or offer third party products or services on our website. These third party sites have separate and independent privacy policies. We therefore have no responsibility or liability for the content and activities of these linked sites. Nonetheless, we seek to protect the integrity of our site and welcome any feedback about these sites.

Childrens Online Privacy Protection Act Compliance

We are in compliance with the requirements of COPPA (Childrens Online Privacy Protection Act), we do not collect any information from anyone under 13 years of age. Our website, products and services are all directed to people who are at least 13 years old or older.

Online Privacy Policy Only

This online privacy policy applies only to information collected through our website and not to information collected offline.

Online Communication Policy

With exception to secure messages sent from a secure content area, emails or communication you initiate (or reply to) conveyed to us by and through one of our Sites, or directly to an internal or employee email address on one of our servers, is not inherently safe, protected or confidential. If you need to contact us concerning your account, we would recommend phone, secure messaging (using the secure areas of our Sites), facsimile, or written correspondence.

Your Consent

By using any of the deeproot® Sites, you expressly consent to this Policy.

Contacting Us

If there are any questions regarding this Policy you may contact us using the information below.

deeproot® Capital Management, LLC 8200 IH-10 West, Ste. 600 San Antonio, TX 78230 contact@deeprootfunds.com (888) 316-2935

© 2013+ deeproot Capital Management, LLC

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