Due Diligence Background Investigations

People are often the key asset behind any investment strategy or opportunity. Yet, even in the post-Madoff era, some investors continue to make decisions on trust alone. Investment frauds of all shapes and sizes make the news every day – so what can you do to mitigate this risk? A thorough background investigation is the most effective and logical step you can take to avoid fraud.

Remember: it’s not what they tell you – it’s what they don’t.  Verifying credentials and other biographical information is always a good place to start; but what about undisclosed business interests, lawsuits, indications of financial stress?  There is so much public record information and intelligence available in the US and across the globe – investors need to use background checks to connect the dots before they make an investment.

Learning Objectives

  • How to apply the trust but verify philosophy. Preserving your personal relationships while the experts do their job.
  • Social Media
  • Checking the box vs thinking outside the box. Online background checks offer a false sense of comfort.
  • Undisclosed business interests. What other entities has your manager formed – or worse, who is forming entities to look like your manager?
  • Not all reference checks are created equal

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