Investment Monitoring and Oversight

Increased due diligence and risk management requirements along with the need for a holistic view of the investment portfolio make consistent monitoring essential for family enterprises. At PKF O’Connor Davies, we understand the critical role professional investment monitoring and oversight has in providing for appropriate stewardship and planning.

Our partners and specialists possess exceptional expertise in investment management portfolio oversight. They work with clients to generate a streamlined, customized plan for monitoring and oversight – one that helps clients make informed and strategic investment decisions in order to preserve capital, grow their wealth and maintain control over their investments. With each family’s needs in mind, we design private client portals that help clients and their advisors connect securely with each other and monitor progress using state-of-the-art technologies.

High-touch investment monitoring and oversight services for family enterprises.

Through a comprehensive suite of investment monitoring and oversight capabilities, our clients enjoy the professional support they need to control and grow their wealth while also remaining in full compliance with their investment obligations. Our services include:

  • Investment aggregation, performance reporting and risk metrics
  • Asset allocation and strategy reviews
  • Investment manager due diligence and evaluation
  • Fee analysis and verification
  • Track inflows/outflows to investment funds and brokerage accounts
  • Liaison with agents, attorneys, investment advisors, insurance brokers and banks
  • Investment fund administration
  • Corporate action monitoring
  • Internal control evaluations and risk assessments
  • Dodd-Frank and investor mandate compliance
  • Coordination and facilitation of periodic meetings with investment advisors and other affiliated parties
  • Tax basis analysis and verification
  • Monitoring of tax and estate planning implications
  • Monitoring private equity, alternative investments and commitments
  • Regularity compliance
  • Projections and valuations