All In The Family: A To B Readies Hedge Fund

Sep 22 2008 | 2:57am ET

After three decades of representing small-cap companies on the sellside, a family of investor relations executives is branching out to the buyside with their first hedge fund.

Red Bank, N.J.-based A to B Capital Management plans a special situations fund to exploit opportunities in the small-cap space through investments in private, pre-initial public offering and publicly-traded companies.

Andrew Kaplan, co-founder, says there's a dearth of hedge funds playing in the small-cap space.

"With the way the market's been, everybody in the small-cap space is so gun-shy that they're not making investments and looking at the small companies that have potential," says Kaplan. "When the economy turns around and pulls out of this, they always say that small companies are the ones that move first. We want to help companies go from A to B, so we want to be there when no one's there and hopefully make a lot of money."

Kaplan runs the hedge fund management firm with his parents, Barry and Madeline, and his brother, Lawrence. In addition, Jess Mogul, a former Bear Stearns managing director, serves as a non-family co-founding member of the firm. He is currently managing director at Lighthouse Financial Group and senior managing director at Multitrade Securities. Kaplan says the firm is looking to fill out its roster with the addition of a private equity vet who is well-known within the small-cap space.

The firm began sending out documents to prospective investors last week and is looking to wrap up its first closing at $25 million within 30 to 45 days. The fund charges a 2% management fee and a 20% incentive fee with a $300,000 minimum investment requirement. Its prime broker is Cuttone & Co. and its auditor is Rothstein Kass.

The Kaplan family has represented small-cap concerns since 1978 under the monkier Barry Kaplan Associates.


In Depth

Q&A: Neil Azous Talks Global Macro Investing

Nov 24 2014 | 12:41pm ET

Neil Azous is the founder and managing member of Rareview Macro, an advisory firm...

Lifestyle

Griffin Selling Chicago Apartment

Nov 26 2014 | 11:40am ET

Citadel Investment Group’s Kenneth Griffin is making clear to his estranged wife...

Guest Contributor

Why The Big Money Is Going To Europe

Nov 14 2014 | 6:03am ET

Peer-to-peer lending was invented with the individual investor in mind. But despite...

 

Sponsored Content

    For Hedge Funds, Mastering Data Is Key To Success

    Nov 4 2014 | 9:45am ET

    Data management is important to every business, but for hedge funds, it is critical. FINalternatives recently asked Peter Sanchez, CEO of Northern Trust Hedge Fund Services, how fund managers can deal with the demands of managing data while at the same time remain transparent and abide by operational best practices. Read more…

Editor's Note

    Guidelines for Guest Articles

    Oct 22 2014 | 9:46am ET

    We are always looking for guest articles from hedge fund managers and buy-side firms.

    If you are interested in submitting a contributed piece for possible publication on FINalternatives, please take a look at the specs. Read more…

 

Futures Magazine

November 2014 Cover

Building a better market

Reg NMS created a huge bifurcation in equity markets and while much of what has followed has been positive, in terms of lower fees and greater liquidity, many traders would like to see the market come...

The Alpha Pages

TAP July/August 2014 Cover

The Alpha Pages Interview: Senator Rand Paul

Senator Paul sat down in the debut series of the Alpha Pages Interview to discuss the broken tax code, regulation surrounding Bitcoin, and his plans for the 2016 Presidential election.