Portfolio Assessment

We work with clients to determine the relative operational risk levels within their investment portfolio, allowing investors to prioritize their higher-risk investments for more in-depth ODD while keeping a broad overview of their portfolio. Our portfolio assessment services can also aid in determining the scope and frequency of ongoing operational due diligence.

Comprehensive Operational Due Diligence

We believe that “deep dive” due diligence is the optimal way to evaluate and mitigate operational risk. Based on detailed document reviews, in-depth meetings with the asset manager and verifications with key service providers, we prepare a tailored report for our client that evaluates operational risks and suggests solutions.

Ongoing Monitoring

We recommend ongoing operational due diligence to monitor operational changes and to re-assess any emerging operational risks. In addition to basic risk monitoring, this process gives insight into a manager’s openness to investor feedback and willingness to implement improvements. Such willingness, when harnessed, can result in additional long-term benefits to investors. Our clients may choose a frequency and scope that aligns with their internal risk management processes, capital at risk and familiarity with the manager under review, from full-scope reporting to a more targeted, economical approach.

Other Services

Audited Financial Statement (“AFS”) Reviews:
The annual work by the auditor is sometimes the only independent check of the fund’s financial records available to investors. Evaluating a fund’s audited financial statements can give you valuable insight into its activities. Key observations include undisclosed affiliated transactions, egregious expenses or previously unidentified special purpose vehicles. We perform a multi-year trend analysis as well as a qualitative assessment of note disclosures. Our AFS review service forms a component of our comprehensive ODD process and is also offered as a stand-alone service.
Background Checks:
We partner with several specialized background check firms and can work with a provider of your choice, facilitating the process and summarizing key issues, concerns or follow-up items.
Social Media Screens:

We identify and flag potentially sensitive content posted by individuals or firms on social media.  Sensitive content will be flagged in 10 areas of focus. In scope social media platforms are:

  • Facebook
  • Twitter
  • Instagram
  • Parler
  • LinkedIn
Beaumont ADV Tool:

As a client, you will have complimentary access to Beaumont’s proprietary web-based tool that harnesses the historical data that over 18,000 investment managers have submitted to the SEC. The tool, which is updated for new filings on a quarterly basis, automates the manual process of reviewing annual regulatory filings, allows easy comparison of disclosures across filing dates and enables early identification of due diligence red flags. The ADV tool also allows users to see trends across followed managers and funds.

Beaumont ADV Tool Login

Questionnaire Circulation:

Beaumont can develop and circulate bespoke questionnaires which will be electronically sent to select managers. Responses received will be reviewed and risk flagged for an initial risk assessment on the investment product or manager under review. Questionnaires can also be circulated in specific areas of focus such as ESG or DEI. Bespoke reporting can be developed.