Investment Risk and Compliance

This section is provided as a supplement to our Statements of Advice and may be referred to in our advice. Whilst generic risks are outlined here, all specific risks associated with our investment recommendations will be identified in our Statement of Advice. The Personal Advice Disclaimer should be read in conjunction with any personal advice given to you.

Summary of investment risks

A number of generic risks apply to both individual investments and asset classes.  These risks should be considered whenever purchasing or selling an investment as they may impact on the overall value of your portfolio, the taxation outcomes or the returns derived from each investment. Click here to download this document.

Ten-step checklist when choosing an investment advisor

  1. Is the advisor owned by bank, fund manager or other financial institution that produces investment products? The advisor can be under pressure to promote the owner's product to the client over other possibly more suitable products.
  2. Is there an in-house research capability? The absence of an in-house research capability means the advisor is vulnerable to possible biases of research provider, or reduced capacity for independent thought.
  3. Are there entry fees for investments?  A way of earning income for advisors not necessarily reflecting the value of service.
  4. Are there numerous layers of fees, and are they clear and transparent? This can be a way of drawing attention away from the size of aggregate fees.
  5. Are fees being charged on cash or term deposits/cash investment products producing less than direct cash/term deposit after-fee returns? This is not in the interests of the client.
  6. Are credit products masquerading as cash products?  This obscures the risk being taken by the investor.
  7. Is there an absence of standard and comprehensive performance reports?  Focus may be diverted from the core role of advisor.
  8. Is there an absence of benchmarking? Relative performance is as important as absolute performance to determine if the advisor is adding value.
  9. Is the person promoting the service different to your advisor? If so, that person is likely to be a sales, rather than advisory, culture.
  10. Are there gifts/benefits/rewards for clients?  If so, then it is likely to be a sales, rather than advisory, culture.

Investment Committee

The primary role of the Investment Committee is to oversee the operations of Pitcher Partners Investment Services to ensure the interests and investment objectives of clients are pursued in accordance with industry best practice and the professional standards of the whole Pitcher Partners' firm.

The Investment Committee is comprised of six Partners who specialise in the investment advisory, accounting, auditing and assurance, superannuation and tax consulting divisions of the firm.
The Investment Committee authorises all investments, listed and managed, for inclusion in client portfolios. The Investment Committee also oversees the operational and procedural processes of the practice including internal compliance and administration, risk management, research and training and advisory development.
Sue Dahn (Chair) - Partner/Executive Director  
David Thomson - Partner/Executive Director 
Greg Nielsen - Partner/Executive Director 
Brendan Britten - Partner/Executive Director
Adam Stanley - Partner/Executive Director
Kellie Davidson - Partner/Executive Director

The Investment Committee seeks external advice and assistance from time to time.

Pitcher Partners Investment Services Pty Ltd | ABN 24 052 941 036 | AFS Licence No. 229887 | An Independent Investment Advisory Practice


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