Alternatives Watch Diversity/Inclusion Survey

Question Title

* 1. Does your firm/fund have a stated goal to allocate to diverse or minority/women-owned investment management firms?

Yes

If yes, please describe criteria:

Question Title

* 2. If your firm does not have a stated D&I goal, do you plan to implement this objective in 2021?

Yes

Question Title

* 3. Does your firm have a Chief D&I officer?

Yes

If yes, is the person a member of the investment committee?

Question Title

* 4. What percentage of your firm’s overall portfolio was allocated to diverse and women-owned investment management firms on Jan 1, 2020?

0-5%

6-10%

Other (please specify)

Question Title

* 5. What percentage of your firm’s overall portfolio was allocated to diverse and women-owned investment management firms on Jan 1, 2021?

0-5%

6-10%

Other (please specify)

Question Title

* 6. What type of allocator/investor do you represent?

Pension Fund

Consultant to Institutional Investors

Outsource CIO (OCIO)

Family Office

Endowment/Foundation

Fund of Funds

Question Title

* 7. What is your AUM?

$100-$500m

$501m-$1bn

$1bn-$10bn

$10bn - plus

Other (please specify)

Question Title

* 8. What are the biggest challenges your firm faces while considering allocations to more diverse managers? (Select all that apply)

Limited investment team bandwidth to assess such managers

Smaller AUM funds make it difficult to provide reasonable allocations while meeting ERISA or other percentage of fund requirements

Lack of prospective manager track record

Difficulty identifying more diverse managers

Lack of experience with specific mandates (e.g., Pensions, Endowments)

All of the above

Other (please specify)

Question Title

* 9. At what levels does your firm analyze diversity? (Select all that apply)

Ownership

Senior Management – Investment Team (CIO/Portfolio Manager)

Investment and Research Team

Senior Management – Non-Investment Team (COO/CFO)

Back/Middle Office Support

Question Title

* 10. How does your firm source diverse managers? (Select all that apply)

Proprietary databases

Public databases

Professional Network

Other (please specify)

Question Title

* 11. Does your firm engage with managers on Diversity & Inclusion?

Yes

If yes, please describe principal criteria and reporting

Question Title

* 12. If you knew an investment manager breached its contractual obligations with either a woman-owned company or minority-owned service provider, would you:

Confront your manager and request a review of the matter

Terminate the relationship immediately if you were to find out that there was a confirmed breach of contract

Review the matter and before terminating give the manager an opportunity to solve the contract breach

Ignore because the issue is between the manager and the contractor

Question Title

* 13. Has your firm identified specific strategies / sectors where increased allocations to diverse managers are planned?

Yes

Question Title

* 14. If your answer above was yes, please check those that apply:

Credit / Distressed

Private Equity

Hedge Funds

Real Estate

Venture Capital

Question Title

* 15. How well do you think your firm is progressing in considerations of Diversity?

Not considered

Early stages

We’re growing

Mature/sophisticated

Alternatives Watch Diversity/Inclusion Survey

Question Title

* 1. Does your firm/fund have a stated goal to allocate to diverse or minority/women-owned investment management firms?

Question Title

* 2. If your firm does not have a stated D&I goal, do you plan to implement this objective in 2021?

Question Title

* 3. Does your firm have a Chief D&I officer?

Question Title

* 4. What percentage of your firm’s overall portfolio was allocated to diverse and women-owned investment management firms on Jan 1, 2020?

Question Title

* 5. What percentage of your firm’s overall portfolio was allocated to diverse and women-owned investment management firms on Jan 1, 2021?

Question Title

* 6. What type of allocator/investor do you represent?

Question Title

* 7. What is your AUM?

Question Title

* 8. What are the biggest challenges your firm faces while considering allocations to more diverse managers? (Select all that apply)

Question Title

* 9. At what levels does your firm analyze diversity? (Select all that apply)

Question Title

* 10. How does your firm source diverse managers? (Select all that apply)

Question Title

* 11. Does your firm engage with managers on Diversity & Inclusion?

Question Title

* 12. If you knew an investment manager breached its contractual obligations with either a woman-owned company or minority-owned service provider, would you:

Question Title

* 13. Has your firm identified specific strategies / sectors where increased allocations to diverse managers are planned?

Question Title

* 14. If your answer above was yes, please check those that apply:

Question Title

* 15. How well do you think your firm is progressing in considerations of Diversity?

Question Title

* 16. Are there any additional details you would like to share?