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6 ways to advertise your investment performance and not run afoul of regulators' wrath

Brian Hamburger debunks advertising myths that scare RIAs from showing off their tracks record

Author Guest Columnist Brian Hamburger August 20, 2012 at 3:44 AM
3 Comments
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Brian Hamburger: Things are not as complicated as some would have you believe ... so long as the advertising contains adequate disclosure.

RIA Compliance


Steve Thomas

Steve Thomas

August 20, 2012 — 7:13 PM

One of the big issues that Mr. Hamburger failed to address here is using back tested performance results. Back tested results are prohibited from GIPS compliant reporting and while no specifically addressed in any of the SEC documents that I have reviewed, are discouraged by most regultors that I have spoken to. The obvious reasons are that anyone, given the advantage of hindsight into market activities and performance, can construct a portfolio or investment strategy that would have done well in the past. Even with careful disclosures I would advise highly against using back tested results in RIA performance advertising…ST

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Mentioned in this article:

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger



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