Catoosa Fund Management LLC

Catoosa Fund Management LLC is a state-registered independent investment adviser that provides discretionary portfolio management to individual clients. The firm’s brochure frames its services as tailored investment management focused on achieving above-average capital appreciation while attempting preservation of capital, and it reported no assets under management as of the filing.

CFM’s investment approach emphasizes active, event-driven long and short equity trading, using technical analysis to time trades and seeking special-situation opportunities such as corporate catalysts and risk-arbitrage situations. The firm says it may employ derivatives and options, short selling, and financial leverage and expects to concentrate in small- and mid-cap securities, noting the program is speculative and carries significant market and liquidity risks.

A distinctive feature in the brochure is that, while CFM does not currently charge performance-based fees, it requires prospective clients to be eligible for performance-fee arrangements and frames its fee and incentive allocations to comply with Rule 205‑3, a condition that is uncommon among similarly sized independent advisers. The combination of a solo-manager structure with an explicit emphasis on leverage, shorting, derivatives and event-driven strategies — and an indication that it may in future serve other client types such as private investment vehicles — differentiates CFM from many peers.