Broker Check

Monitoring Investment Managers and Portfolios

Client Centered

Molly Rambo recognizes the importance of ongoing review and analysis of underlying investment managers, model portfolios, and custom portfolios. The process for monitoring the strategies and investment managers is as follows:

1. On-going Monitoring - A qualification analysis of all investment managers will be conducted at minimum of once per year. In addition to reviewing on-going performance, the program manager will continually evaluate:

  • Material changes in the investment managers organization, investment philosophy, and/or personnel.
  • Investment manager adherence to the IPS guidelines. 
  • Comparisons of the investment managers results to appropriate indices, peer groups and comparable investment strategies.
  • Performance, risk and efficiency measurements compared to the related measurements of the appropriate market index and peer group.If appropriate markets indices and/or peer groups are not available, Molly will evaluate factors consistent with stated objectives, including but not limited to, risk and return, philosophy, process and exposures in relation to the market environment.

2. Formal Watchlist -  If Molly determines that any of the above factors, or any other developments regarding underlying investment manager's performance or organization needs a more thorough examination, she will place the investment manager on a formal watchlist.  Length of watchlist period is at the sole discretion of Molly.

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