A firm must ensure that an investment is suitable for an investor as outlined by Financial Industry Regulatory Authority (FINRA) Rule 2111. Suitability ensures that an investor’s situation matches the particular investment recommended by an investment firm. FINRA has specific rules for determining this match. In general, suitability can be determined from an investor’s profile, which contains information such as the investor’s risk tolerance, investment time frame, and goals. Suitability is not the same as fiduciary standards/requirements.
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Hypothetical example(s) are for illustrative purposes only and are not intended to represent the past or future performance of any specific investment.
Investing in alternative assets involves higher risks than traditional investments and is suitable only for sophisticated investors. Alternative investments are often sold by prospectus that discloses all risks, fees, and expenses. They are not tax efficient and an investor should consult with his/her tax advisor prior to investing. Alternative investments have higher fees than traditional investments and they may also be highly leveraged and engage in speculative investment techniques, which can magnify the potential for investment loss or gain and should not be deemed a complete investment program. The value of the investment may fall as well as rise and investors may get back less than they invested.
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