Onboarding Advisors

The Challenge: A regional broker dealer with a growing wealth management business was adding financial advisors which were utilizing alternative investments not covered by the firm’s internal research team.  We were engaged to provide expedited due diligence to facilitate internal decision making and transition.

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The Solution: We analyzed the existing platform offerings and obtained an understanding of the firm’s goals and objectives including the time critical nature of the project.  We carefully managed our internal resources to ensure that we could meet the client’s timetable and conducted a evaluation of 8 alternative product offerings which included several hedge fund-of-funds (HFOF) and a variety of liquid market hedge funds.  The reviews were fully documented and presented to management with opinions, ratings and supporting rationale.

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The Result: Documented due diligence and quantitative reports, providing appropriate benchmark and peer group comparisons, were delivered in the time frame specified to the full satisfaction of firm management.  We were subsequently engaged to provide on-going monitoring and commentary on the new product additions.