Registered Investment Advisor Professional Liability Insurance

Registered Investment Advisors (RIAs) professional liability insurance and broker-dealer professional liability insurance premiums continue to skyrocket.  Due to the loss severity risk associated with investment fraud claims, if you don’t have thousands of registered representatives you don’t have economies-of-scale sufficient to participate in the lucrative commercial real estate private placement offerings under the FINRA Direct Participation Program.  Many RIAs are paying even more today and facing the reality that professional liability insurance carriers are specifically excluding alternative investments and commercial real estate securities private placement offerings from coverage.  Boy, that sure sounds like you have a problem that means the giant wirehouses get the business and you get the losses.

The industry needs something to change this dynamic and create a whole new way forward to profitability and that’s where INVIZEN comes into the picture – just in time to provide the only end-to-end solution that is specifically designed to reduce your exposure to future investment fraud claims loss severity risk by addressing the source of the problem.

The INVIZEN program is specifically designed to reduce and/or eliminate investment loss severity risk by providing an end-to-end solution that starts with underwriting those tough commercial real estate private placement securities offerings and then proactively guarding against bankruptcy and foreclosure default events for the full term of the investment holding period in a real-time reporting environment.  INVIZEN offers up to 24 months of advance notice of market disruptions that could lead to asset value impairment, while at the same time providing proactive monitoring to help prevent the most common forms of administrative foreclosure default events.

FINRA due diligence compliance comes baked into the cake and INIVZEN is so affordable, you can’t afford to stay in business without it – especially when the sponsor/issuer pays the fees that are not even materially-significant.  Find out more today by contacting INVIZEN at 832.663.9634.