NEoWaveEquityFund

WealthManagement
Welcome,MAY2014
www.neowave.com
LegalNotice
PerformanceresultsarebasedontheNEoWaveEquityFundLLC(NEFortheFund).ALimitedLiabilityCompany
withInterests(the"Interests"),whichtheFundcommencedofferinginJune,2009. Performanceresultsarebasedon
theactualperformanceoftheFundandarecalculatedbyholdingperiodreturnformulaandareunaudited.TheFund
ismanagedusingonemethod,policyandinvestmentstrategy,andareunaudited.Allmetricsdescribedaboveare
estimatedandunaudited,andtheperformanceresultsthemselveshavenotbeenaudited.Pastperformanceisnot
necessarilyindicativeoffutureresults.TheS&P500Indexisacapitalizationweightedindexof500stockspublishedby
Standard&Poorsanddesignedtomeasureperformanceofthebroaddomesticeconomythroughchangesinthe
aggregatemarketvalueof500stocksrepresentingallmajorindustries.Thisindexisunmanagedandisprovidedfor
comparisonpurposesonlyandarecomprisedofsecuritiesandotherinvestmentsthatarenotnecessarilyapartofthe
Fundsinvestmentprogram.Itisnotmeanttobeindicativeofperformance,assetcompositionorvolatilityoftheFund.
Theinvestmentperformancedataprovidedinthissummaryissolelyfortheinformationofcurrentorprospective
investorsintheFund.InvestorsshouldnotassumethataninvestmentintheFundwillbeprofitable.Thisisneitheran
offertosellnorasolicitationofanoffertobuyinterestsintheFund,norshalltherebeanysaleofasecurityinany
jurisdictionwheresuchanoffer,solicitationorsalewouldbeunlawful.TheofferingismadeonlybytheFund's
ConfidentialPrivatePlacementMemorandumandrelatedofferingdocuments,whichprospectiveinvestorsshouldread
carefullyintheirentiretybeforeinvesting.Nooffertopurchaseinterestswillbeacceptedpriortoreceiptbytheofferee
ofthesedocumentsandthecompletionofallappropriatedocumentation.NeithertheU.S.SecuritiesandExchange
Commissionnoranyothersecuritiesregulatorhaspassedon,orendorsed,themeritsoftheseinstruments.An
investmentintheNEoWaveEquityFundLLCinvolvessignificantriskfactorsandissuitableonlyforpersonswhocan
beartheeconomicriskofthelossoftheirentireinvestment,whohavealimitedneedforliquidityintheirinvestment
andwhomeettheconditionssetforthintheConfidentialPrivateOfferingMemorandum.Therecanbenoassurances
thattheFundwillachieveitsinvestmentobjectives.InvestmentintheFundcarrieswithittheinherentrisksassociated
withinvestmentsinsecurities,aswellasadditionalrisksincluding,butnotlimitedto,investmentsinprivate
placements,theuseofshortsales.EachprospectivelimitedpartnershouldcarefullyreviewtheConfidentialPrivate
OfferingMemorandumandtheagreementreferredtothereinbeforedecidingtoinvestintheFund.Securitiesoffered
throughEmersonEquityLLC,memberFINRA/SIPC.
www.neowave.com
Agenda
IntroductiontotheNEoWaveEquityFundOpportunity
WhatisNEoWave
WhatisNeelyRiverTheory
WhoistheFundManager
HistoricalTrackRecord
MarketsTraded
ETFTradingTrackRecord
ForecastingandTradingServicesexamplesandresults
OfferingMemorandumandSubscriptionAgreement
NEoWaveEquityFundKeyFacts
Frequentlyaskedquestions
www.neowave.com
IntroductiontotheFund
Anaturalevolutionofproprietarymethods:
NEoWaveForecastingTechnology
NeelyRiverTradingTechnologies
NeelyInvestmentsisbelievedtobetheworld's
firstandonlyportfoliomanagementfirmbasedon
theseprinciples
TheNEoWaveInstituteformedNeelyInvestments
LLCtomanagecapitalforprivateinvestors
CulminationofGlennNeely'ssuccessful30year
careerintechnicalinnovationandforecasting
Worldwidelaunch nowopenforsubscriptions
www.neowave.com
NEoWaveEquityFund PhasedRollOut
PhaseOne(completed)
Establishthefund,brokers,custodiansandraiseinitial
capital(completed,includingtheFundManager)
PhaseTwo(completed)
Beginaseriesoftradesthatdemonstratesatrack
record,requiredbynewandinternationalinvestors
(completed,profitsandtradespublished)
PhaseThree(inprocess)
Objectivetosubstantiallyexpandcapitalbase
internationally
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InvestmentOpportunity
WebelievetheNEoWaveEquityFundisanefficient
waytobeinvestedinactivelytradedmarkets
InvestorspotentiallybenefitfromtheskillsofNEoWave
Founder,GlennNeely,andhisproprietarymethods
Tradeslongandshortpositionswiththeguidanceof
NEoWaveandNeelyRivertradingtechnologies
Completedestablishmentphaseandtradingrecord
phase
NowopentoSubscribers
www.neowave.com
WhatisNEoWave?
Aforecastingtoolthatseekstopredictmarket
behaviour
BasedontheprinciplesR.N.Elliottdiscoveredinthe
1930s,wellknowntechnicalanalysistool
ElliottWavehasthreecoreelements:
Fibonacci,PatternRecognition,GoldenRatio
NEoWaveusesElliottsWaveprinciplesbutadds
threeadditionalandimportantconcepts:
Logic(strongcorrectionsmustproducestrongevents)
Selfdefininglimits(basedonprice,time,complexity)
SelfConfirmation(marketgradesyouranalysis)
www.neowave.com
WhatareNeelyRiverTradingTechnologies?
Proprietarytechnologyfortradingand
understanding(notForecasting)markets
NeelyRiveristhefoundationofallstrategies
NeelyRivertradingtechnologyprovidesthe
rulesforentry,exit,stopmovement
NeelyRivertradingtechnologysobjectiveisto
provideanedgebyadaptingtovariousmarket
environments
www.neowave.com
WhoistheFundManager
GlennNeely:
Spent30yearsstudyingElliottWave
FoundedNEoWaveInstitute
InventorofNeelyRivertheory,whatwebelievetobea
newtradingparadigm
DevelopedtheinteractionbetweentheWaveprinciple
andNeelyRiverTradingTechnologies
Usesproprietarytechnologythatattemptstoprovideastepby
stepmethodtoapplyWavetheory
Basedstrictlyonpriceaction,itseekstoanalyseindividualswings
andgroupthemcorrectlyintowavepatterns
TimerDigest rankedMrNeelyasaTop10S&PTimerfor
thepast20years
www.neowave.com
Authorof:
TechnicalReferencework
MasteringElliottWave
Scientific,objectiveapproach
tomarketforecastingwith
ElliottWaveTheory
Basedonoveradecadeof
exhaustiveresearch
Realtimetradingandteaching,
authorGlennNeelyexpanded
uponandrefinedtheconcepts
firstdiscoveredbyR.N.Elliott
Applieswavetheorytotrading
andinvestments
www.neowave.com
TrackRecord 2014TheSuccessContinues
Recognitionin2014
February3,2014,issue(SpecialAnnualReport):
#1BondTimerforthelast3years
#1BondTimerforthelast5years
Top10S&PTimerforthelast3years
Top5S&PTimerforthelast8years
Top5S&PTimerforthelast10years
S&PHonor Roll:
Top10Timerin2001andTop5Timerin2011
GoldHonor Roll:
Top5Timerin1999,2000,and2004
BondHonor Roll:Top5Timerfor2003
January16,2014,issue:
Top5S&PTimerforthelast6months
Top5S&PTimerforthelast3months
January2,2014,issue:
Top5S&PTimerforthelast3months
Pastperformanceisnotnecessarilyindicativeoffutureresultsandtherecanbeno
assurancethattheFundwillachieveitsobjective.
www.neowave.com
TrackRecord 2013TheSuccessContinues
Recognitionin2013
January14,2013,issue:
Top5BondTimerforlast12months
January28,2013,issue(SpecialAnnualReport):#1
BondTimerfortheentireyearof2012
Top5S&PTimerforlast3years
Top5S&PTimerforlast5years
Top10S&PTimerforlast8years
January28,2013,issue(SpecialAnnualReport):
S&PHonourRoll:
Top10Timerfor2001andTop5Timerfor2011
January28,2013,issue(SpecialAnnualReport):
GoldHonourRoll:
Top5Timerfor1999,2000,and2004
BondHonourRoll:Top 5Timerfor2003
February18,2013,issue
#1BondTimerforlast12months
March11,2013,issue:
Top5BondTimerforlast12months
April1,2013,issue:
Top10S&PTimerforlast3months
May13,2013
Top5BondTimerforlast12months
June3,2013,issue:
Top5S&PTimerforlast3months
October7,2013,issue:
Top5BondTimerforlast12months
October28,2013,issue:
Top5S&PTimerforthelast3months
November 18,2013,issue:
Top5S&PTimerforthelast3months
December9,2013,issue:
Top5S&PTimerforthelast3months
Pastperformanceisnotnecessarilyindicativeoffutureresultsandtherecanbeno
assurancethattheFundwillachieveitsobjective.
www.neowave.com
TrackRecord 2012TheSuccessContinues
Recognitionin2012
February20,2012,issue:
Top5S&PTimerlast12months
March12,2012,issue:
Top5S&PTimerlast12months
April2,2012,issue:
Top5S&PTimerlast12months
May14,2012,issue:
Top5S&PTimerlast12months
Top10S&PTimerlast6months
June4,2012,issue:
Top5S&PTimerlast12months
Top5S&PTimerlast3months
June25,2012,issue:
Top5S&PTimerlast12months
July16,2012,issue:
#1BondTimerforthe2012MidYearReview
Top5S&PTimerlast12months
Top5S&PTimerlast3months
August27,2012,issue:
Top5S&PTimerlast6months
Top5S&PTimerlast3months
Top5BondTimerlast12months
September17,2012,issue:
Top5S&PTimerlast6months
#1S&PTimerlast3months
#1Top5BondTimerlast12months
October8,2012,issue:
Top5S&PTimerlast6months
Top5S&PTimerlast3months
Top5BondTimerlast12months
October29,2012,issue:
Top10S&PTimerlast12months
Top5S&PTimerlast6months
Top5S&PTimerlast3months
#1BondTimerlast12months
November19,2012,issue:
Top5S&PTimerlast12months
Top5S&PTimerlast6months
Top10S&PTimerlast3months
Pastperformanceisnotnecessarilyindicativeoffutureresultsandtherecanbeno
assurancethattheFundwillachieveitsobjective.
www.neowave.com
TrackRecord 2011TheSuccessContinues
Recognitionin2011
May16,2011,issue:
Top10S&PTimerlast3months
Top5BondTimerlast12months
June6,2011,issue:
Top5S&PTimerlast3months
Top5BondTimerlast12months
June27,2011,issue:
Top5S&PTimerlast3months
Top5BondTimerlast12months
July18,2011,issue:
Top5S&PTimerlast3months
Top5BondTimerlast12months
August8,2011,issue:
Top5S&PTimerlast12months
Top5S&PTimerlast6months
#1S&PTimerlast3months
August29,2011,issue:
Top5S&PTimerlast12months
Top5S&PTimerlast6months
Top5S&PTimerlast3months
Top5BondTimerlast12months
September19,2011,issue:
Top5S&PTimerlast6months
Top10S&PTimerlast3months
October31,2011,issue:
Top10S&PTimerlast6months
October10,2011,issue:
Top5S&PTimerlast6months
November21,2011,issue:
Top5S&PTimerlast6months
Pastperformanceisnotnecessarilyindicativeoffutureresultsandtherecanbeno
assurancethattheFundwillachieveitsobjective.
www.neowave.com
MarketsTraded
NEoWaveEquityFundsstrategyisfocused
onthefollowingETFs:
S&P500(SPY)
Gold(GLD)
10yearTreasury(TLT)
Eurovs.Dollar(FXE)
www.neowave.com
ETFTradingPerformance2007 2013
$100,000invested,December2013now
worth:
$358,399(2%risk,reinvested)
$256,345(Fixed$15tradesizeperpoint/pip)
$203,621(1%risk,reinvested)
$261,513(fixed2%riskfromstartingcapital)
$487,901(3%risk,reinvested)
www.neowave.com
S&P500 Forecasting&Trading
www.neowave.com
GOLD Forecasting&Trading
www.neowave.com
EURO Forecasting&Trading
www.neowave.com
TNotes Forecasting&Trading
www.neowave.com
OfferingMemorandumDocumentation
www.neowave.com
NEoWaveEquityFundKeyFacts
Brokers EmersonEquity.EmersonEquityLLC(theInvestmentManager),aCalifornialimitedliabilitycompany
organizedonOctober10,2003,willdirecttheFundsinvestmentactivitiesastheInvestmentManagertothe
Fund.TheprincipalofficeoftheInvestmentManageristhe155BovetRoad,Suite725,SanMateo,CA94402
InvestmentAdvisor TheinvestmentadvisortotheFundisEmersonEquityLLC(theInvestmentAdvisor),aCalifornialimitedliability
company.TheInvestmentAdvisorsprincipalofficeis155BovetRoad,Suite725,SanMateo,CA94402,United
StatesofAmerica.Telephone:+1(650)3120200.
Administrators IfyouhaveanyquestionsconcerningtheseSubscriptionDocumentsorwouldlikeassistancecompletingthem,
pleasecontactKathyMorrisseyat+1(650)3120236 orStephenCole+447906017380
Custodians PershingLLC,OnePershingPlaza,JerseyCity,NewJersey07399,United StatesofAmerica
ManagingMember ThemanagingmemberoftheFundisNeelyInvestmentsLLC(theManagingMember),aDelawarelimitedliability
company.TheManagingMembersprincipalofficeislocatedat300ParkAvenue,17thFloor,NewYork,NewYork
10022,telephone:+1(212)6721863.ThemanagingmemberofNeelyInvestmentsisGlennA.Neely,founderof
theNEoWaveInstitute.MrNeelywillserveasportfoliomanageroftheFundandisresponsibleforallinvestment
decisionsregardingtheFund.
BankingInstructions Bank: BANKOFAMERICA
BankAddress: 26831ALISOCREEKROAD,ALISOVIEJO,CA92656,UnitedStatesofAmerica.
SWIFTCODE: BOFAUS3N
A/C: 325024763794
Name: NEOWAVEEQUITYFUNDLLC
www.neowave.com
InvestmentSummary
MinimumInvestmentAmount:$25,000
CurrencydenominatedinUSD
OpentoQualifiedinvestors,IRAs,Trusts,Entities,LimitedPartnerships
TaxformW8fornonUSresidencefortaxtreatypurposes,K1forallinvestors
NEoWaveEquityFundisaDirectParticipationProgram(DPP)wheretaxflowsthrough
totheinterestholders.
InvestmentManagement:EmersonEquityLLC
Fundincorporatingproprietarytradingtechnologies
NEoWaveEquityFundLLCisaNewYorkLimitedLiabilityCompanystructuredasa
hedgefund
Redemptions:withdrawalloranypartofinvestmentcapital 30daysnotice
Strategyattemptstoprovidemaximumreturnswhileseeking minimumriskexposure
Managementfee2%perannum,20%highwatermarkperformance,oneoff3%
placementadministration.
TheFunddoesnotinvestinleveredETFs,nordoesitemployleverageofcapitalto
produceorenhancereturns
Positionstypicallykeepriskofcapitalat12%(frequentlyless)whileseekingto
exploitmarketopportunities
www.neowave.com
FrequentlyAskedQuestions
HowdoIinvest?
CompletetheSubscriptionagreementavailableon
requestfromStephenColesteve@neowave.com
Contactbyphone:Internationaltelephone+44790
6017380(cell Londonbased),+441494448782
(UK)ifrequired
Transferfundsbywiretransfer
Receiveconfirmationofreceipt
Yourinterestissued
www.neowave.com
FrequentlyAskedQuestions
WilltheNEoWaveInstituteautomatesomeofthe
mechanicalaspectsdescribedinMasteringElliottWave?
Thiscouldallowmultiplemarketstobetraded(say1015)
ratherthanthecurrent4andpotentiallyofferalertsfor
furtherhumananalysis.
TheNEoWaveInstitutedoesnotbelievethattechnology
hasadvancedtoanextentwherecomputersareableto
substitutetheskillsthathumanbeingsarecapableofin
termsofbeingabletoexamineandinvestigatepotential
wavebehaviourovermultipletimeframes,askillthatwe
believeisabsolutelynecessaryforgoodwaveanalysis.
www.neowave.com
FrequentlyAskedQuestions
Isthisahedgefundwherethefundmanager
canshortthemarket?Orisitjustapurely
"buy"onlyasperotherfunds.
TheNEoWaveEquityFundisafully
operationallongandshortpositionalfundin
allfourofitsmarkets.Thefundmanager
takesshortandlongpositionsbasedon
NEoWaveprinciplesandNeelyRiverTrading.
www.neowave.com
FrequentlyAskedQuestions
Willthefundfollowstrategiesandfutures
tradingrecommendationslistedinthehourly,
dailyandweeklyNEoWavetradingservices?
TheNEoWaveEquityFundcloselyfollowsonly
theweeklyETFtradingpositions,notthe
hourlyanddailyfutures,trading
recommendationsregularlypublishedin
NEoWaveservices.
www.neowave.com
FrequentlyAskedQuestions
Whatisthemaximummonthlydrawdownduring
thetradingperiodwhilebeingestablished?
ThemaximummonthlydrawdownbetweenJune2009
andJuly2013was2.64%inDecember2011.From
2007themaximumdrawdownwas8.38%.
Whatwasthemaximummonthlygain duringthe
tradingperiodwhilebeingestablished?
ThemaximumgainbetweenJune2009andJuly2013
wasinApril2013at13.10%.From2007,themaximum
gainwas38.19%.
Pastperformanceisnotnecessarilyindicativeoffutureresultsandtherecanbeno
assurancethattheFundwillachieveitsobjective.
www.neowave.com
FrequentlyAskedQuestions
WhatmarketswilltheFundinvestedin?
TheNEoWaveEquityFundwillinvestinthefourmainmarkets
coveredbytheNEoWaveInstitutesTradingandForecasting
services.ThosearetheSPY(S&P),TLT(TNotes),GLD(Gold)andFXE
(Euro).Onrareoccasions,whentheaboveETFsarenotavailable
forshorting,theFundManagermaydecidetobuyinverseETFs
directlyrelatedtotheabove,fourETFs(SH,TBF,DGZandEUO,
respectively).
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FrequentlyAskedQuestions
WhatdoestheFundManagerdoto
limitriskofcapitalloss?
Onthevastmajorityoftrades,theNEoWaveEquity
Fundendeavourstolimitriskoflossto1%pertrade
(sometimesevenless).Onrareoccasions,when
potentialreturnisdeemedlargerthannormal,riskper
trade/permarketmayapproach2%oftradingcapital.
Closelyadheringtotheseguidelineshasallowedthe
Fundtohistoricallycapmaximumdrawdown(sofar)to
3%duringourworsttradingmonthperiod.
www.neowave.com
FrequentlyAskedQuestions
Whatstheaveragenumberofmarketpositionsyourfund
holds?Howlongdoyouholdatypicalposition?Whatsthe
levelofportfolioturnover?
Themaximumnumberofmarketpositionswillvirtuallynever
exceedfour,whicharetheSPY,TLT,GLDandFXE.Itisraretohave
positionsinall4marketssimultaneously;normally,positionsare
heldin12marketsatatime.Theholdingperiodiscompletely
dependentonwhethertradeisworkingornot.Thegeneralplanis
forweeklyETFtradestolastweeksormonths(rarelyyears).Since
tradesareintendedtotakeadvantageofperceivedmarketevents,
thepositionstakenarenotforinvestmentpurposesbuttoexploit
unusualmarketconditions.Frequently,theFundmayholdno
marketpositions,whichkeepsinvestorcapitalmoreprotectedthan
inyourtypicalfund.
www.neowave.com
FrequentlyAskedQuestions
CanIinvestintheNEoWaveEquityFundusingfundsheld
inmyIRA?
Yes,theNEoWaveInstituteisaDirectParticipation
Programme(DPP)wheretaxflowsthroughtotheinvestor
nottheDPP.
CanIinvestintheNEoWaveEquityFundusingatrust?
Yes,theNEoWaveInstituteisaDirectParticipation
Programme(DPP)wheretaxflowsthroughtotheinvestor
nottheDPP.Thiscanincludetrusts.Someadditional
documentationisrequiredsuchasaTrusteeCertificate.
www.neowave.com
FrequentlyAskedQuestions
Whatdoinvestorsreceiveandwhatisthecostofinvestinginthe
NEoWaveEquityFund?
Eachnewinvestorwhoinvests$50,000ormorereceivesa12monthfree
ofchargesubscriptiontoNEoWaveForecastingandTradingServices.This
isissuedthreetimesweeklyplusinterimupdates.Thisischargedto
subscribersat$1.580perannum.Thereisanadministrationplacementfee
of$750foreach$50,000investment(3%)
Thetotalattributedvalueofthesubscriptionistherefore$3,160when
remaininginvestedfor24months.
Theadministrationplacementfeeischargedinordertocovercostsfor
investorsupportservices,investmentadministration,reportingandnon
chargedsupportservicesfortheperiodinvested.
www.neowave.com
FrequentlyAskedQuestions
Whatinformationandservicesdoesaninvestorreceive
whileinvestedintheNEoWaveEquityFund?
AnnualsubscriptiontoNEoWaveForecastingservices
TheapplicationofadvancedNEoWaveconceptstoorthodoxElliottWave
theoryonrealtimepricecharts(short,intermediateandlongterm)
Everyweek,subscribersreceivechartspresentingNEoWaveforecastsonthe
marketsofyourchoice,alongwithGlennNeely'sinsightfulmarketanalysis
AnnualsubscriptiontoNEoWaveTrading services
Thisserviceseekstoeliminatetheneedtospendtimeanalysingmarkets.The
objectiveissubscriberswillnoticeanuncommonlevelofdetailandspecificity.
Theserviceisidealfortradersseekingguidanceandforbusyprofessionals
(includingmoneymanagersandbrokers)withlimitedtime.Thereisastrong
focusoncapital preservation
Subscribersnormallycharged$1,580perannumforthesecombinedservices
www.neowave.com
FrequentlyAskedQuestions
WhatarethiscostsassociatedwiththeFund?
NEoWaveEquityFundschargesarea2%annual
managementfeepaidquarterlyattherateof
0.5%perquarter.
A performancefeeis20%ofrealisedgainsabove
initialinvestmentvalue,whichisreferredtoasa
highwatermarkmodelwherenoperformancefee
ischargeduntiltheoriginalinvestmentsvalue
hasrealisedagain.
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FrequentlyAskedQuestions
Whatreportingdoinvestorsreceiveafterinvestinginthe
NEoWaveEquityFund?
Investorsreceiveamonthlyvaluationreportdeliveredbyemail
containingyourinvestmentvaluation.
Inaddition,thereportdiscussesalliedsubjects,e.g.market
conditions,tradingrecord,performancemetrics,marketstatistics
andextractsfromtradeForecastingandTradingservices.
ThereportalsocontainsupdatedFundtechnicalanalysis,e.g.
Calmarratio,Sharperatio,StandardDeviationandValueAdded
MonthlyIndex.
www.neowave.com
WhatMetricsareavailable?