bd/ria due diligence outsourcing - we can help!
1a: assured reliance on the character, ability, strength, or truth of someone or something
b: one in which confidence is placed
Libet Anderson, CIMA
“Paula Miterko’s attention to detail is amazing and we are fortunate to receive her guidance and deep understanding of the alternative marketplace. Paula’s work is thorough, timely and easily understood. She has always been extremely responsive to questions and concerns. She is certainly the best player on the bench we could ever hope for in a very difficult playing field.”
CIO, SVP - Investment Research
Lincoln Investment Planning LLC/Capital Analysts
Paula's due diligence reports, interaction with our investment department and presentations to our Product Review Committee have been invaluable in leveraging the limited resources of our team and allow us to maintain the high level of service demanded by our advisors. Her reports are customized to our Committee format, which is a real time saver. She is flexible with her schedule, timely with her reporting, thorough and interactive with our department throughout the due diligence process. Best of all, she leaves no stone unturned. It's like having another member on our staff."
President & CEO
The Strategic Financial Alliance, Inc.
Paula has been a valuable due diligence resource for our growing firm over many years. Her services have included, as needed, product and sponsor overviews as well as in-depth analyses. These services have included both initial and ongoing due diligence."
progressive, customized dd process
There is a reason most of our business comes from referrals: trust. Our clients know they can count on Miterko and Associates to provide relevant, timely, accurate information. We take on the work of due diligence so you can focus on revenue-generating activities. We dot the regulatory i’s and cross the t’s for you.
Training and retaining qualified, in-house personnel can be costly. Outsourcing some or all of your due diligence process to the right third party can save you both time and money.
Clients find that by using our progressively stepped due diligence process we create efficiencies, save time, and save money. You decide which of our services best meet your needs:
- Product Screenings
- Product Reviews
- Sponsor Reviews
- Ongoing Public and Private Offering Monitoring
- Custom Projects
- Compliance Controls and Procedures Review and Audits
- Written Supervisory Procedures: Do your WSP's reflect what you are actually doing with regards to due diligence, compliance and supervision of alternative investments?
the right fit
When you hire Miterko and Associates, you bring on a highly-skilled due diligence company to serve as an integral part of your team at a fraction of the cost of hiring in house. We customize the services being provided so that you get exactly what you want, rather than trying to make standardized services or reports fit your needs.
the next step?
So, you have a third party report in hand…now what? When you engage our broker dealer outsourcing services we will advise you on, or take responsibility for, handling the steps between getting a third-party report and executing a selling agreement.
Miterko and Associates can:
- We create DD reports for you, or read reports you may have from other third parties.
- Take responsibility for addressing all open or follow up items.
- Fully document your DD file for regulatory purposes, as well as based on your own WSPs. (We can help you review your current process and documents, report our findings, and customize recommended areas for improvement.)
- Create the Investment Committee memos you need.
review, report, recommend
We don’t believe in one-size fits all due diligence and we don’t believe you should either. You are in control of selecting from our suite of consulting and due diligence services only what you truly need. We feel one of the big value adds we offer is that we include our opinions and conclusions in our reports, clearly stated and easy to find.
A special word to RIA clients
As an independent Registered Investment Advisor, you value just that – independence. We know that providing quality investment opportunities to your investors is of key importance, but detailed due diligence review and documentation may not be the highest and best use of your time.
Our due diligence analysis and consulting can streamline both your approval process and ongoing monitoring. We will work closely with you to provide a customized due diligence process designed to save you time, save you money, and offer guidance on potential compliance issues so you can focus on what you do best... serving your clients.
35 Years of expertise
to work for you!
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