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Expert Advice

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Guest Column: Blurring Lines Between Institutions & RIAs Means Opportunities For Emerging Managers

Until recently, the challenge for emerg­ing asset managers seeking to grow assets among institutional investors and RIAs was developing and executing a two-pronged approach because they are essentially two different market segments with distinct needs and objectives.

05.01.24
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Compliance Column: SCS Exam Observations

The most common question we receive from clients is “When am I going to be examined?” Unfortunately, there is no crystal ball to pre­dict this for advisers. The best advice we have is to assume it could be any day.

05.01.24
DAMI: Congress Should Think Twice Before Subsidizing the Bad Behavior Of Universities’ Endowments
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DAMI: Congress Should Think Twice Before Subsidizing the Bad Behavior Of Universities’ Endowments

Elite universities with a pitiful track record of working with Lati­nos and African Americans are heading to Capitol Hill seeking help from minority members of Congress to fend off new taxes and regulations on the money in their tax-exempt endowments.

05.01.24
Guest Column
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Guest Column

What Can Make Your Fund Marketing Writing Wrong

04.03.24
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Guest Column: What Can Make Your Fund Marketing Writing Wrong

The first job of emerging managers seek­ing to grow their investment firms is to deliver performance that is considered to be within the ballpark of acceptance. They have a second job, too. It is their responsibility to educate and persuade prospective investors and those who influence them to understand and buy into how they invest.

04.03.24
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Compliance Column

Rules & Exam Priorities: A Reflection On 2023 & Preparation For 2024

03.06.24
Guest Column: When Fund Managers Lose The Sale At The Initial Investor Meeting
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Guest Column: When Fund Managers Lose The Sale At The Initial Investor Meeting

Is your money management firm too of­ten striking out in its early due diligence/get acquainted meetings with sophisti­cated investors?

02.07.24
Compliance Column: Private Fund Rule Series: Part 4 Preferential Treatment Rule
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Compliance Column: Private Fund Rule Series: Part 4 Preferential Treatment Rule

This article examines the Preferential Treat­ment Rule adopted on Aug. 23 as part of the Securities and Exchange Commission’s new Private Fund Rule.

02.07.24
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Compliance Column

Private Fund Rule Series: Part 3 Restricted Activities Rule

01.11.24
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Compliance Column

Private Fund Series: Financial Statement Audit & Adviser-Led Secondaries Rules

12.06.23