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Independent investment review

Independent investment review

Phocion offers independent due diligence services for high net worth clients that evaluate current and/or prospective investment advisor offerings. Our comprehensive approach assists to ensure the safety of investor capital and includes:

  • Review the client’s profile, risk/return objective and asset allocation
  • Review of the investment advisor strategy and proposals, including their model portfolios, marketing material and performance report
  • Background checks on the investment advisor and their team, including any regulatory disciplinary sanctions
  • On-site review of the investment advisor’s premises
  • Detailed report identifying strengths and weaknesses
  • Periodic and annual on-going due diligence