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.org/] which we have linked to the advisor’s profile when they supply us with their correct Firm and Individual CRD number.