Business Valuation and Appraisals
Regulatory Clarity is a next generation, automated tool that provides Form ADV monitoring and flagging for fund allocators. Regulatory Clarity will monitor all of your fund managers and funds, notify you daily of all changes, indicate the level of importance for those changes, explain why the Form ADV changes should matter to your organization and suggest next steps.
Regulatory Clarity is the first in a series of applications designed to support fund allocators such as endowments, foundations, public and private pensions, family offices, sovereign wealth funds, OCIOs and consultants that are seeking ongoing monitoring of fund investments. We recognize the unique needs of fund allocators and the challenges they face when investing in traditional and alternative funds across the U.S. and around the world. Our application is designed to provide you with the meaningful updates that your fund managers have made to their regulatory filings, which may require further inquiry or action. Regulatory Clarity enhances your monitoring process and may inform you of matters for consideration between due diligence visits.
Duff & Phelps supports fund allocators with our process for monitoring critical information provided through the SEC’s Form ADV system. Our unique system monitors your fund investments, flags the changes for update importance and provides our clients with clear, easily understood information about why the change was flagged.
Managers are required to update their Form ADV filings annually, and more frequently if certain important changes are made. The filing changes may be mundane, important or critical:
Our proprietary flagging tool will sort the changes for you and provide you with our comments about what the changes mean and which changes you need to react to immediately.
Every morning, Regulatory Clarity will review all the updates to Form ADV on the SEC’s website. Our system reviews the entire Form ADV filing including every answer to every question in every section, all the schedules to the filing, as well as the Disclosure Reporting Pages (DRPs) and the signature page. In our daily email we will identify the managers that make changes, flag the changes and then sort the changes into one of three categories:
In addition to flagging the changes, we will explain why the issue is important, or perhaps critical. The Form ADV filing can be confusing and opaque to allocators that do not understand every change or why the change is signaling inconsistencies in the manager’s filing. Regulatory Clarity flags the changes and then it explains why the issues may be important to your firm. Regulatory Clarity will provide allocators with actionable information and not bury them with confusing data.
Regulatory Clarity was designed to meet the unique needs of fund allocators. Our system helps analysts and portfolio managers keep track of important changes, and who within your organization is following up with the fund manager through the following:
Regulatory Clarity was designed to make the complex Form ADV data easy to access and easy to understand:
Talk to us about how Regulatory Clarity can efficiently and effectively help you monitor your fund managers. We will provide you with actionable information every day and help you avoid getting lost in the chaos of digital data.
Managing Director
Alternative Asset Advisory
New York
John Ward
Director
Alternative Asset Advisory
New York
Julianne Recine
Expert investment valuations, specifically securities and no "active market" quotations.
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