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Alternative Investments

Who Qualifies?

Under current securities laws, qualified investors generally include:

Individuals and Family Entities

Alternative assets can offer attractive risk-adjusted returns but they may not be suitable for everyone. Qualified investors are urged to consult their financial planner before investing in alternative investments to determine suitability to their individual investment objectives, risk tolerances and time horizons.

If you're seeking to add an allocation in alternative investments to your holdings, you should be a sophisticated investor, be able to understand the complex investment strategies sometimes employed and tolerate the risks and possible illiquidity constraints of alternative asset classes. Before making a commitment to invest, we assume that you have received appropriate tax, legal or other advice you consider necessary and that you have arranged to account for any taxes due from you on the income or gains arising from any of our investments.

Minimum net investment assets of $5 million owned separately or jointly with a spouse (includes stocks, bonds, investment real estate, other investment-type assets and cash held for investment purposes).

Other Entities (Such as Institutions, Pension Funds, Endowments and Foundations)

Our institutional clients include corporations, foundations, pension plans and endowments. Like individual investors, institutional clients look to our products and services to reduce portfolio volatility through diversification. Although a growing number of institutions have chosen to allot a larger percentage of their asset allocation plans to alternatives including hedge funds, private equity and real estate, alternative assets may not be appropriate for every portfolio or investment objective.

Minimum net investment assets of $25 million

We offer qualified investors the opportunity to participate in these unique investments for $500,000 to $1,000,000.

This site does not constitute an offering and is meant only to provide a broad overview for discussion purposes. All information provided here is subject to change. If and when an investment opportunity is structured, all investors must obtain and carefully read the related Offering Memorandum, which will contain the information needed to evaluate the potential investment and provide important disclosures regarding risks, fees and expenses. No offer of any interest in any product will be made in any jurisdiction in which the offer, solicitation or sale is not authorized, or to any person to whom it is unlawful to make such offer, solicitation or sale.

Investing in alternative investments is speculative, not suitable for all clients, and intended for experienced and sophisticated investors who are willing to bear the high economic risks of the investment, which can include:

  • loss of all or a substantial portion of the investment due to leveraging, short-selling or other speculative investment practices;
  • lack of liquidity in that there may be no secondary market for the fund and none expected to develop;
  • volatility of returns;
  • restrictions on transferring interests in the fund;
  • potential lack of diversification and resulting higher risk due to concentration of trading authority with a single advisor;
  • absence of information regarding valuations and pricing;
  • delays in tax reporting;
  • less regulation and higher fees than mutual funds;
  • and advisor risk.

Past performance is no guarantee of future results.

Investing in managed futures products is speculative, not suitable for all investors, and is intended for experienced and sophisticated investors who are willing to bear the loss of their entire investment. Performance of these products may be volatile, and while they may provide the potential for positive returns in both rising and declining markets, the potential for loss is equal. Some of the important risks are: trading profits and interest income may not offset substantial fees; the ability to redeem interests may be limited and there may be no secondary market; conflicts of interest may exist in the management of an investment vehicle; advisors may be changed without notice to investors; and the vehicle may not be registered under the Investment Company Act of 1940. See the relevant offering materials for further discussion of risks.

Please contact your advisor for more information about available products, services and research.

For more information, please contact your Financial Advisor.

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