Today’s complex, global investment markets are causing public pension fund Boards of Trustees to carefully re-consider the governance structures that are in place to manage the investment organizations they lead. Each investment organization has a unique culture and mission, and so there is no one-size-fits-all approach that will work for all funds. Decisions that must […]
Our experience with private foundations tells us that these groups place great importance on ensuring that all parts of the organization are working in alignment with their stated mission. A useful tool employed by many is the performance evaluation process, which measures how well a person or a function of the organization compares to a […]
Jennifer Cooper, Managing Director, appeared today with investment advisor, Dan Goldie, on Michael Yorba’s radio show on KFXR/1190-AM – Dallas. Dan Goldie is President of Dan Goldie Financial Services and co-author of the #1 New York Times best selling book, The Investment Answer. Dan Goldie Financial Services is an investment advisory firm on the Green List of our Red-Yellow-Green report. Dan Goldie, with […]
Diligence Review Corp.’s latest research gets a mention in Josh Brown’s WSJ Blog The Good Leads on August 9, 2012.
The latest salvo in this war has been fired by Diligence Review Corp., which specializes in performing due diligence reviews for private clients of SEC-registered investment advisors. It has just completed a first-of-its-kind comprehensive report, open to the public, that color-codes advisors by their regulatory offenses on the Form ADV, the document that firms use to […]
Managing Director, Jennifer Cooper, on Michael Yorba’s “Trader’s Network” on KFXR-1190 AM in Dallas,Texas. In this ten-minute audio clip, she highlights three Green List advisors from the Diligence Review Corp.’s August 1, 2012 Red-Yellow-Green Report that stand out.
The Red-Yellow-Green Report was released by Diligence Review Corp. on August 1, 2012. Of the 11,622 SEC-registered investment advisors at July 2, 2012, we identified 1,315 advisors (11.31%) that answered “yes” to one or more questions that constitute a “significant adverse regulatory event” in Form ADV. The names of those 1,315 firms are listed in […]