EM Capital Management, LLC - Emerging & Frontier Markets Investments and Fund Management

Text Box: Emerging & Frontier Markets and Distressed Assets Specialists EM Capital Management, LLC is a Registered Investment Adviser and International Asset Manager regulated by the United States Securities and Exchange Commission under the Investment Adviser Act of 1940

Header photos of Mt. Rushmore, Taj Mahal, Mayan Temple and Great Wall of China symbolizing the theme of EM Capital Management, LLC's global scope.

Text Box: About EM Capital Management, LLC EM Capital Management, LLC is a boutique international financial advisor and fund manager, regulated by the U.S. SEC and other jurisdictions, specializing in alternative and innovative investments with an emphasis on emerging and frontier markets and distressed assets and restructuring opportunities (sometimes referred to as Special Situations). EM Capital Management is based in San Francisco with branch offices or managing directors located in India, Pakistan, Washington, D.C., New York and Mexico City. EM Capital Management, LLC provides customized consulting services and offers managed accounts, separate accounts and private funds with a superior return objective, available only to Accredited, Qualified and Institutional investors. The firm also creates and advises registered mutual funds for retail and institutional investors that are available through leading financial advisors and brokers such as Charles Schwab, Fidelity, T.D. Ameritrade, E*Trade and Scottrade. The firm is managed by a multi-disciplinary team of senior professionals with diverse experience and backgrounds, including management of listed equities, private equity, real estate, financial and corporate restructuring and distressed assets, banking, legal and accounting, academia, and at regulatory and international policy and multilateral agencies such as SEBI, the International Monetary Fund (IMF) and the World Bank. In addition to our in-house expertise, EM Capital Management customarily enters into strategic relationships with leading local market investment and professional firms. This global network strategy provides our clients and investors with the high-touch personal attention of an entrepreneurial boutique firm and the benefits of deep local-market knowledge, key relationships and timely, actionable qualitative information. EM Capital Management's edge is its unique integration of traditional fundamental valuation with bottom-up private equity-style research and due-diligence combined with extraordinary local market knowledge and understanding of business-practices. We believe that successfully investing in the emerging markets requires the ability to formulate insightful, qualitative judgments and that success is often based on "who you know" and the reliability of information. The hands-on approach of EM Capital Management professionals and associates in each local market in which we invest is designed to tightly manage investment and operational risks of investing in dynamic emerging markets and asset-classes with the objective of delivering superior short or long-term returns to our investors, depending on the specific strategy.

EM Capital Management, LLC is strategically committed to implementing the integration of ESG principles and profit-making for emerging and frontier markets investing:

Investment & Operational Transparency: We believe that investors should have open, daily access to information regarding their investments and an investment infrastructure that ensures a high level of client security and safety.

· Daily NAV reporting on listed investments calculated and provided by third-parties and available on-line

· Appraisals of illiquid assets performed by reputable third-parties

· Custody of securities and investor cash held in custodial bank accounts at large institutions

· Fund Accounting, Administration and investor account statements provided to investors directly by reputable outside service providers

· Open access to key EM Capital Management, LLC executives and portfolio managers

Emerging Markets and Frontier Markets ESG and Socially Responsible Investing (SRI)

· Development of innovative emerging and frontier markets Socially Responsible Investing products and services that provide a double or triple return

· Encourage emerging and frontier markets companies to report on their environmental, social and corporate governance (ESG) policies and practices

· Assist emerging and frontier markets firms to implement ESG best-practices

Text Box: Mutual Fund Disclosure: Investors should carefully consider the investment objectives, risks, charges and expenses of the EM Capital India Gateway Fund. This and other important information about the Fund is contained in the prospectus, which can be obtained by calling 866-611-4967 or at www.emcapitalfunds.com. EM Capital India Gateway Fund is distributed by Northern Lights Distributors, LLC, member FINRA/SIPC. The prospectus should be read carefully before investing. There are special risks associated with international investing including currency fluctuation, economic conditions, and different governmental and accounting standards. The fund contains international securities that may provide the opportunity for greater return but also have special risks associated with investing including currency, government regulation, differences in accounting standards and liquidity. 2009 © EM Capital Management, LLC - All Rights Reserved

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