Investment Advisers: Where to Find Financial Info & How to Make Sense of It All

Presenter: Roslyn Clarke, Assistant Director of Research, Harvard University
Year: 2015
Price: Member: $49, Non-Member: $79
Body of Knowledge Alignment: Prospect Research
Competencies and Levels:

  • Competency 4: Utilizing Research Resources
  • Competency 5: Financial Capacity Evaluation and Wealth Indicators

When researching hedge funds, private equity or venture capital firms, do you know where to find reliable information on the size, structure, and ownership of their funds? Do you know the difference between assets under management (AUM) and regulatory assets under management (RAUM)? Do you know how these things relate to an individual prospect’s compensation? This session will answer these questions and more using the SEC’s Form ADV (the registration and disclosure document these firms file each year) and real world examples. 

Learning objectives:

  • Navigating the SEC Form ADV for investment advisers.
  • Understanding the organizational structures at most hedge funds, private equity and venture capital firms.
  • Understanding compensation structures, practices and ranges for most investment advisers.

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