The financial advisors listed below have identified themselves as specializing and focusing, to some degree, in the analysis, selection and use of listed and non-listed closed-end funds (CEFs) and business development companies (BDCs) as noted in their AICA Advisor profile.
Before individual investors select an investment professional they should have a thorough discussion regarding fees, professional designations, FINRA licenses, investment expectations, typical client needs, investment objectives as well as the expected client servicing model.
Many experts recommend that you also ask for references and speak with other investors served by a prospective advisor. Only once you are satisfied that you are fully aware of the credentials of an advisor, should you make a decision to invest with an advisor. The SEC/FINRA offer Broker Check [https://brokercheck.finra.
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| First Name | Last Name | Title | Firm | Year enter the business | Year Focused on CEFs/BDCs | Custodians | % Practice Focused on CEFs/BDCs | $ AUM MM | Profile updated date |
|---|---|---|---|---|---|---|---|---|---|
| John Cole | Scott | CIO | CEF Advisors & CEFData.com | 2001 | 2001 | TD Ameritrade | 90 | 125 | 10/31/2019 |
The list above is provided solely to assist in the potential selection of investment advisors that specialize in closed-end funds (CEFs) and business development companies (BDCs). It does not imply any recommendation to use, or accreditation of, any advisor by the Active Investment Company Alliance, its staff, board of directors or advisory council. The Active Investment Company Alliance makes no warranties whatsoever, and does not sponsor or promote any of the closed-end funds, business development companies, financial advisors or third-party organizations that might be viewed at our website, either directly at the site or through hyperlinks.