The Associated Securities Corp. Investment Research Department employs a proactive and responsive approach to explore innovative investment concepts and identify cutting-edge offerings. Their goal is to offer a spectrum of stable investment vehicles from financially sound companies with experience and professional management.

The Investment Research Department reviews and analyzes investment products-including third-party money managers, third-party platforms, direct participation programs, REITs, insurance and annuities. Research specialists gather and analyze detailed due diligence information, including both investment information-e.g., structure, fees, projections and viability-and sponsoring company information-e.g., management expertise, track record and financials-to help ensure that stringent due diligence standards are met. They help ensure that the investment meets all legal and regulatory requirements, and weigh potential benefits against inherent risks. In some cases, they request an independent investigative report on a sponsoring company. After this extensive analytical review, the program or the product is submitted for approval to the Investment Committee. The Committee consists of the President & CEO, head of Investment Research (Chairman), Chief Marketing Officer, Chief Compliance Officer, General Counsel, Chief Financial Officer and an Advisor representing all the Advisors in the field.

The Investment Research Department publishes an approved list of limited partnerships/REITs, investment advisors and insurance companies. In addition to due diligence, the Investment Research Department does a quarterly comprehensive analysis of products and provides Advisors a recommended list that they can use for their asset management programs. They also provide Advisors with research information on the various investment products currently on our approved list, as well as third party economic commentaries.