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The Importance of Ongoing Due Diligence for RIAs

by Scott Smith

It is more important than ever that advisors engage in ongoing due diligence on the alternative investments they recommend to clients. Changes happen quickly and factors that may not affect the equity markets can greatly affect some alternatives. 

Filed Under: Due Diligence

Technology Driven Crowd-Capital Formation: From Crowdfunding to Regulation A+

by FactRight

Filed Under: Regulation A+

Why Risk Mitigation is Key to an Effective Investment Strategy

by Scott Smith

Risk and its relation to the client's life should always be considered when making investment recommendations. As we’ve noted in past blog posts, risk management is something that shouldn’t be an afterthought to an investment strategy. Address risk up front when defining a client’s goals and[...]

Filed Under: Best Business Practices

Alternative Investment Due Diligence: Beyond the Numbers

by Scott Smith

Checking out “just the numbers,” isn’t an option for financial advisors recommending alternative investments to clients. If advisors don’t go beyond the numbers in due diligence investigations, they could be doing a catastrophic disservice to their clients and themselves.

Filed Under: Due Diligence

Top 7 Alternative Investment Due Diligence Considerations

by Scott Smith

Advisors recommending alternative investments to higher-wealth clients are thinking outside the box about how to generate higher returns. While some alternatives certainly can, and do generate better returns than are available in the equity markets, they are not without risk or other[...]

Filed Under: Due Diligence

Understanding and Improving Your Risk Management Process

by Scott Smith

Risk management shouldn’t be an afterthought in portfolio management. While talking about it with clients and formalizing a strategy isn’t as exciting as exploring growth potential, it’s one of those necessary conversations that advisors and clients need to have. Having a clear understanding of[...]

Filed Under: Due Diligence

The Corporate Ethical Culture: Its Place in a Due Diligence Review

by Scott Smith

Most advisors agree that an issuer’s or investment sponsor’s ethics are becoming more and more important to investors. Surveys show that among younger investors, especially Millennials, whether a company operates in an ethical and socially-conscious environment and makes ethics an[...]

Filed Under: Due Diligence, Best Business Practices

Preferred Shares 101: Key Features and Benefits

by Chari Graham

Preferred shares are shares in a company that are given priority over common shares. They provide a higher level of ownership in the company and company assets than common shares, giving them an intermediary position between bonds and common stock. If a corporation were to face bankruptcy or[...]

Filed Under: Mutual Funds

How Financial Advisors Can Stand Out in a Congested Marketplace

by Scott Smith

Many advisors have difficulty differentiatingtheir practices and themselves from other advisors. How do you convince investors that you are the best advisor to handle their assets? In the current competitive climate, identifying your key features and benefits is vital to building a solid client[...]

Filed Under: Best Business Practices

How RIAs Can Take Advantage of Digital Trends

by Scott Smith

Today’s investors are savvier and not shy about demanding what they want. They seek transparency, easy account access and transacting ability, higher yields and lower fees. One significant reason is the access to nearly unlimited information that has come with the proliferation of the internet.[...]

Filed Under: Best Business Practices