Miterko & Associates’ clients rely on our having a finger on the pulse of the Alternative Investments sector. They know we’re looking around corners for their benefit and succinctly delivering timely observations. For example, Texakoma Resources just wisely captured in a less than 2-minute video – educating us without uttering a word how Fossil Fuels are Essential to Modern […]
A recent Elite RIA Study indicated several common characteristics. Elite RIAs are more likely to use specialists in virtually every area except technology. This allows for a team-based approach that helps land bigger clients and allows professionals to focus on what they do best. Using Investment Specialists allows multiple advisors to work on client needs,
Helping RIAs Reach Elite Status
It is rare for a third-party due diligence firm to single out any one sponsor. That said, Miterko and Associates has had the opportunity to work with Mewbourne Oil Company for many years and we recognize, along with other industry participants, that they are often cited as “best-in-class” due to their program structure, performance, their
Unique Opportunity to Access Best-In-Class Energy Sponsor
It has been my life’s work to understand and evaluate risk and to stay abreast of trends affecting various sectors of the alternative investment marketplace. As the pandemic has worn on, investment capital has sought safety and income, which has contributed to increased demand for industrial properties and programs. Increasing ecommerce, already a growing trend prior
Industrial Investment Risk – We Dig Deeper
In a recent sweep of RIAs SEC examiners found widespread compliance deficiencies. Over half of the RIAs examined were cited for deficiencies relating to portfolio management practices, investment recommendations, managing and disclosing conflicts of interest, and appropriate investment allocations. Specific areas of concern included: Outdated policies, controls, and procedures Not adhering to stated policies, controls,
SEC Cracks Down on Compliance Deficiencies for RIAs
BDs/RIAs should be aware of changes they may be seeing in current PPMs due to varying interpretations of the July 1, 2020 FINRA Regulatory Notice 20-21, providing guidance on NTM 2210, relating to communication with the public on DPPs. In the Notice FINRA indicates they may feel it unreasonable to have public communication which includes
BDs/RIAs – Something New and Different in Private Placement Disclosures