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Alpha Blue Capital Management LP Enters Active ETF Space: Launches Alpha Blue Capital US Small-Mid Cap Dynamic ETF

alphaBlue scaled - Global Banking | Finance

Alpha Blue Capital Management LP Enters Active ETF Space: Launches Alpha Blue Capital US Small-Mid Cap Dynamic ETF

Greenbrae, California -12/19/2023 – Alpha Blue Capital Management LP is pleased to announce the launch of Alpha Blue Capital US Small-Mid Cap Dynamic ETF listed on the NASDAQ with the ticker: ABCS. The active equity ETF is a new pioneering Dynamic Active Small-Mid Cap Equity ETF that integrates a successful, repeatable fundamental bottom-up security selection investment process practiced for 30+ years with the flexibility of investing in Small & Mid Cap passive equity index ETFs all in one equity ETF.

Alpha Blue Capital Management LP is the ETF sponsor & sub-adviser providing fundamental research, portfolio management strategy & decision making for ABCS. ETF Architect, based in the Philadelphia area is the adviser for ABCS on their industry leading-value white label ETF platform EA Series Trust. ETF Architect is also providing quantitative consulting and monthly portfolio characteristics analysis to streamline ABCS’s active equity process and its “4-Levels” of bottom-up stock selection based on Valuation, Fundamentals & Quality, Business Momentum & Catalysts, and establishing Target Prices. The strategy focuses on the less efficient, potentially higher returning, bottom 30% by market weight of the US stock market.

“We believe our low cost, Dynamic Active Small-Mid Cap ETF-ABCS offering with the flexibility to integrate Passive Index ETF investing & seeking to generate alpha1, is ideal for taxable & tax-exempt Individual Investor accounts and ultimately Family Offices & Institutional Investors as AUM grows” explains David Dabora, Managing Partner & Portfolio Manager for ABCS.

ABCS’s portfolio of Small & Mid Cap Individual stocks will generally represent 50%-100% portfolio weighting of the total 50-150 holdings and Small & Mid Cap passive equity index ETFs range from 0%-50% weighting with 0-6 holdings.

The investment objective of ABCS is long term capital appreciation with targeted annualized alpha & investment performance of 1%-3% in excess of the benchmark, Bloomberg US 2500 index returns over a full market cycle with the opportunity to outperform the broader US market’s returns. ABCS’s annual fee is 0.40%.

About David M. Dabora, CFA: David M. Dabora, CFA has over 30 years of investment experience and is the Founder, Managing Partner & Portfolio Manager of Alpha Blue, LLC | Alpha Blue Capital L.P. | Alpha Blue Capital Management LP providing Fundamental Research & Value-Focused Investment Management, since inception in 2010. He is the portfolio manager & architect of the Alpha Blue Capital US Small-Mid Cap Dynamic ETF-ABCS Strategy and Alpha Blue Alternative Equity Strategy.

He was a Founding Partner of Boston Partners Asset Management LP in 1995. In September 2022 he retired as Senior Portfolio Manager/Managing Director from what is now a different wholly owned company by Orix of Japan. Leaving the firm after leading & growing 3 different small/small-mid cap strategies & the Alpha Blue Alternative Equity strategy to over $6 billion AUM with strong investment performance over 27+ years.

He also served on the Executive Committee from 2012 until leaving the firm in 2022 to focus on the management of Alpha Blue, LLC | Alpha Blue Capital L.P. and to launch and fund both Alpha Blue Capital Management LP & Alpha Blue Capital US Small-Mid Cap Dynamic ETF – ABCS.

Mr. Dabora holds the Chartered Financial Analyst (CFA) designation since 1996, is a graduate of UCLA Anderson School of Management – MBA, Finance 1992 and Penn State University – BS, Business Administration 1986. He also holds the FINRA Series 65, Investment Advisor Representative (IAR) credential since 1995.

Important Information

  1. Alpha: A measure of performance on a risk-adjusted basis. Alpha takes the volatility (price risk) of a fund and compares its risk-adjusted performance to a benchmark index. The excess return of the fund relative to the return of the benchmark is a fund’s alpha.

Investments involve risk. Principal loss is possible. Unlike mutual funds, ETFs may trade at a premium or discount to their net asset value.

The Fund’s investment objectives, risks, charges and expenses must be considered carefully before investing. Click here for the ABCS Prospectus and SAI. A free hardcopy of any prospectus may be obtained by calling +1.416.528.8369. Read carefully before investing.

Investing involves risk, principal loss is possible. Unlike mutual funds, ETFs may trade at a premium or discount to their net asset value. Harbor ETFs are new and have limited operating history to judge.

Shares are bought and sold at market price not net asset value (NAV). Market price returns are based upon the closing composite market price and do not represent the returns you would receive if you traded shares at other times.

An investment in the Fund involves risk, including those described below.

Growth-Style Investing Risk. Stocks of companies the Sub-Adviser believes are fast-growing may trade at a higher multiple of current earnings than other stocks. If the Sub-Adviser’s assessment of a company’s prospects for earnings growth, or how other investors will value the company’s earnings growth, is incorrect, the price of the stock may fall or may never reach the value the Sub-Adviser has placed on it.

Value-Style Investing Risk. Value stocks can perform differently from the market as a whole and from other types of stocks. Value stocks may be purchased based upon the Sub-Adviser’s belief that the stock may be out of favor.

Foreign Securities Risk. Investments in non-U.S. securities involve risks that may not be present with investments in U.S. securities. For example, investments in non-U.S. securities may be subject to risk of loss due to foreign currency fluctuations or to political or economic instability. There may be less information publicly available about a non-U.S. issuer than a U.S. issuer.

Risk of Investing in Other ETFs. Because the Fund may invest in other ETFs, the Fund’s investment performance is impacted by the investment performance of the selected underlying ETFs. An investment in the Fund is subject to the risks associated with the ETFs that then-currently comprise the Fund’s portfolio. At times, certain of the segments of the market represented by the Fund’s underlying ETFs may be out of favor and underperform other segments. The Fund will indirectly pay a proportional share of the expenses of the underlying ETFs in which it invests (including operating expenses and management fees), which are identified in the fee schedule above as “Acquired Fund Fees and Expenses.”

The Fund is distributed by Quasar Distributors, LLC. The Fund’s investment advisor is Empowered Funds, LLC which is doing business as EA Advisers.

For media inquiries, please contact Ronica Cleary at [email protected].

Global Banking & Finance Review


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