Lucas D. Foss
Compliance Officer at ALPS Series Trust
Profile
Lucas D.
Foss is currently the Chief Compliance Officer at The Caldwell & Orkin Funds, Inc., ALPS Series Trust, Clough Funds Trust, Goehring & Rozencwajg Investment Funds, 1WS Credit Income Fund, and Bluerock High Income Institutional Credit Fund.
He is also the Vice President & Deputy Chief Compliance Officer at ALPS Fund Services, Inc. Mr. Foss has previously worked as a Compliance Director at Transamerica Asset Management, Inc. and as a Deputy Chief Compliance Officer at ALPS Fund Services, Inc. He has also held the position of Chief Compliance Officer at Boulder Total Return Fund, Inc., Clough Global Opportunities Fund, Clough Global Equity Fund, SRH Total Return Fund, Inc., and Clough Global Dividend & Income Fund.
Mr. Foss has an undergraduate degree from the University of Vermont.
Lucas D. Foss active positions
| Companies | Position | Start |
|---|---|---|
| ALPS Series Trust | Compliance Officer | 01/01/2012 |
| The Caldwell & Orkin Funds, Inc. | Compliance Officer | 01/01/2012 |
ALPS Fund Services, Inc.
 ALPS Fund Services, Inc. Investment ManagersFinance ALPS Fund Services, Inc. provides asset servicing and asset management solutions to the investment management industry. The firm’s services include compliance, fund accounting, tax administration, audit process, and portfolio solutions. The company was founded by W. Robert Alexander and Art Lucey in June 1985 and is headquartered in Denver, CO. | Corporate Officer/Principal | 01/11/2017 |
Bluerock High Income Institutional Credit Fund
 Bluerock High Income Institutional Credit Fund Investment Trusts/Mutual FundsMiscellaneous Bluerock High Income Institutional Credit Fund is a closed-end investment fund, which engages in investment activities. Its investment objective is to generate income, while secondarily seeking long-term risk-adjusted returns to the broader markets. The company was founded on August 19, 2021 and is headquartered in New York, NY. | Compliance Officer | 01/03/2022 |
| Clough Funds Trust | Compliance Officer | 01/11/2017 |
| Goehring & Rozencwajg Investment Funds | Compliance Officer | 01/11/2017 |
| 1WS Credit Income Fund | Compliance Officer | 01/11/2017 |
Former positions of Lucas D. Foss
| Companies | Position | End |
|---|---|---|
| CLOUGH GLOBAL EQUITY FUND | Compliance Officer | 17/04/2023 |
| CLOUGH GLOBAL OPPORTUNITIES FUND | Compliance Officer | 17/04/2023 |
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Training of Lucas D. Foss
| University of Vermont | Undergraduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 16 |
|---|---|
First Opportunity Fund, Inc.
 First Opportunity Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous First Opportunity Fund, Inc. is a closed-end management investment company. The Fund is non-diversified and its primary investment objective is total return. Its assets are invested primarily in equity securities issued by financial services companies. The company was founded on March 3, 1986 and is headquartered in Boulder, CO. | Miscellaneous |
Clough Global Opportunities Fund
 Clough Global Opportunities Fund Investment Trusts/Mutual FundsMiscellaneous Clough Global Opportunities Fund is a closed-end investment fund. It seeks to apply fundamental research-driven investment process and will invest in equity and equity-related securities, as well as fixed income securities, including both corporate and sovereign debt. The company was founded on April 25, 2006 and is headquartered in Denver, CO. | Miscellaneous |
ALPS Fund Services, Inc.
ALPS Fund Services, Inc. Investment ManagersFinance ALPS Fund Services, Inc. provides asset servicing and asset management solutions to the investment management industry. The firm’s services include compliance, fund accounting, tax administration, audit process, and portfolio solutions. The company was founded by W. Robert Alexander and Art Lucey in June 1985 and is headquartered in Denver, CO. | Finance |
| ALPS Series Trust | Miscellaneous |
| The Caldwell & Orkin Funds, Inc. | Miscellaneous |
SRH Total Return Fund, Inc.
 SRH Total Return Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous SRH Total Return Fund, Inc. operates as a non-diversified, closed-end management company. It primarily invests in domestic common stocks, warrants, corporate bonds, the United States treasury bills and repurchase agreements. The firm seeks to produce both income and long-term capital appreciation by investing in a portfolio of equity and debt securities. The company is headquartered in Denver, CO. | Miscellaneous |
Principal Real Estate Income Fund
 Principal Real Estate Income Fund Investment Trusts/Mutual FundsMiscellaneous Principal Real Estate Income Fund is a closed-end investment company, which seeks to provide high current income, with capital appreciation as a secondary objective, by investing in commercial real estate-related securities. The company was founded on June 25, 2013 and is headquartered in Denver, CO. | Miscellaneous |
Boulder Total Return Fund, Inc.
 Boulder Total Return Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous Boulder Total Return Fund, Inc. is a diversified, closed-end management investment company. It seeks to invest in portfolio of equity and debt securities. The company was founded on February 19, 1993 and is headquartered in Boulder, CO. | Miscellaneous |
Clough Global Equity Fund
 Clough Global Equity Fund Investment Trusts/Mutual FundsMiscellaneous Clough Global Equity Fund is a closed-end investment trust, which intends to invest primarily in a managed mix of global equity securities. Its investment objective is to provide a high level of total return. The company was founded on April 27, 2005 and is headquartered in Denver, CO. | Miscellaneous |
Clough Global Dividend & Income Fund
 Clough Global Dividend & Income Fund Investment Trusts/Mutual FundsMiscellaneous Clough Global Dividend & Income Fund is a closed-end investment fund, which engages in investment activity. It focuses on applying a fundamental research-driven investment process and will invest in equity and equity-related securities. The company was founded on July 28, 2004 and is headquartered in Denver, CO. | Miscellaneous |
Transamerica Asset Management, Inc.
 Transamerica Asset Management, Inc. Investment ManagersFinance Transamerica Asset Management, Inc. (TAM) is a registered investment advisor headquartered in Denver, Colorado. The firm was founded in 1996 and formerly known as Transamerica Fund Advisors, Inc. and as WRL Investment Management, Inc. They are a subsidiary of Transamerica Life Insurance Co., ultimately held by Aegon NV (AMS: AGN) in The Netherlands. TAM provides investment management and investment advisory services to investment companies registered under the 1940 Act. They also provide investment advisory services to a foreign registered investment company, privately-offered pooled investment vehicles that are not registered under the 1940 Act, such as the MFTC Trust and WT CITs, and an affiliated recordkeeper. | Finance |
Broadstone Real Estate Access Fund, Inc.
 Broadstone Real Estate Access Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous Broadstone Real Estate Access Fund, Inc. is a closed-end investment fund or Investment trust. The company is headquartered in New York, NY. | Miscellaneous |
Bluerock High Income Institutional Credit Fund
Bluerock High Income Institutional Credit Fund Investment Trusts/Mutual FundsMiscellaneous Bluerock High Income Institutional Credit Fund is a closed-end investment fund, which engages in investment activities. Its investment objective is to generate income, while secondarily seeking long-term risk-adjusted returns to the broader markets. The company was founded on August 19, 2021 and is headquartered in New York, NY. | Miscellaneous |
| Clough Funds Trust | Miscellaneous |
| Goehring & Rozencwajg Investment Funds | |
| 1WS Credit Income Fund | Miscellaneous |
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