Fulfilling Your Fiduciary Responsibility—So You’re Saying There’s a Chance!

by Russell Putnam

Today, we’re talking about a place where the due diligence knowledge flows like wine, where the RIAs instinctively flock like the salmon of Capistrano. Are we talking about a little place called Aspen? No. We’re talking about the Fulfilling Your Fiduciary Responsibility—Research and Due Diligence for Alternatives panel at the Sealy Investment Securities virtual RIA Summit.

A few weeks back Sealy Investment Securities hosted a virtual event, which brought together a number of leaders in the RIA sector to discuss strategies and ideas that can help RIAs navigate the challenges in today’s marketplace. As part of that event, Russell Putnam, FactRight’s Co-President, participated on an educational panel, alongside Stacy Chitty, Managing Partner at Blue Vault Partners, moderated by Brian Rivera, Sealy’s Executive Vice President of Business Development.

During the course of the panel, Russell, Brian, and Stacy discussed the importance of RIAs obtaining due diligence and performance data to help meet their regulatory requirements and to help guide their alternative investment platform decisions. Fortunately, the guys did not discuss the age-old question of whether you can triple stamp a double stamp. But they did address the following questions:

  • What does proper offering and sponsor due diligence entail?
  • What areas of due diligence are often overlooked by RIAs?
  • What do RIAs need to focus on when evaluating alignment of interests between managers and Investors?
  • And, how can RIAs take advantage of the third party due diligence and performance reporting to ultimately make investment decisions for their clients?

Now if you missed the due diligence panel because you were busy putting another shrimp on the barbie in Austria, that’s unfortunate. But luckily, you can take one step closer to fulfilling that fiduciary responsibility by checking out a recording of the panel here, and totally redeem yourself!

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