Investment Due Diligence

Market Volatility makes it critical for retirement plan sponsors and fiduciaries to develop and maintain investment due diligence procedures and supporting documentation. Romero & Levin will work with the retirement plan committee to develop and maintain the plan’s investment strategy, which is codified in an investment policy statement. This investment policy statement is used as a guide to evaluate your current investment offerings, measuring them against applicable indices, your existing provider’s complete menu and the broader universe of investment options. The result is confidence that your plan’s investments are diversified, well managed, and meet the stated objectives of your investment policy statement.

Romero & Levin provides this comprehensive analysis by utilizing multiple tools, including Zephyr’s Style Advisor, one of the most robust investment analytical tools available. Each investment is evaluated by more than a dozen different and objective analytical measurements, including:

  • Upside & Downside Capture
  • Style: Correlation & Style Drift
  • Performance: Excess Return & Tracking Error
  • Risk-Return: Standard Deviation, R-squared, Alpha, Beta & Sharpe Ratio

Performing this analysis on a regular basis is essential to documenting compliance with Department of Labor guidelines and minimizing exposure to fiduciary liability.

 

No information provided on this site is intended to constitute an offer to sell or a solicitation of an offer to buy shares of any security, nor shall any security be offered or sold to any person, in any jurisdiction in which such offer, solicitation, purchase or sale would be unlawful under securities laws of such jurisdiction. Registered Representatives of LPL Financial disclosed on this site may only discuss securities or transact business with persons who are residents of the following states: AZ, CA, CO, HI, IL, IN, MN, MS, NC, NY, OH, SC, TX, & WA

Daniel Romero, Melissa Levin and Greg Levin are Registered Representatives with and offer Securities, financial planning & fee based asset management through LPL Financial LLC a Registered Investment Advisor and Member FINRA/SIPC. Daniel’s CA Insurance Lic #:OC54180 - Melissa’s CA Insurance Lic #:0C56086 - Greg’s CA Insurance Lic #:0F08519

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ Practitioner, which it awards to individuals who successfully complete initial and ongoing certification requirements.