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Monitoring Alternative Investments After the Sale: What Actual Oversight Requires

Sponsor: Buttonwood Due Diligence | ALTSeek

Event Name: Monitoring Alternative Investments After the Sale: What Actual Oversight Require

Host: Buttonwood Due Diligence – Steve Ogrin

Date: May 27th, 2026

Time of Event: 11:00 AM (MST)

Event Type: Virtual

Description of Event:

Due diligence gets the attention.

Ongoing oversight gets examined.

Most alternatives programs focus heavily on upfront due diligence but have far less structure around ongoing monitoring and oversight.

That gap is where much of the regulatory and fiduciary risk exists.

This webinar explains why monitoring alternative investments is an ongoing fiduciary obligation, not just a best practice, and how RIAs can build a practical, defensible monitoring framework for illiquid investments that remain in client portfolios for years.

You’ll learn:

  • Why ongoing monitoring is required under the fiduciary standard
  • The concept of “implied recommendation” and why holding an investment still requires oversight
  • The core components of a strong monitoring framework, including review triggers, watch lists, and documentation standards
  • Common monitoring deficiencies identified in SEC examinations
  • How to handle underperforming or illiquid investments that cannot easily be exited
  • What oversight responsibilities can and cannot be delegated to third parties
  • How independent monitoring and governance can strengthen both compliance and credibility

Who should attend:
Independent RIAs, compliance professionals, and operations personnel responsible for alternative investment oversight, particularly firms that have strong front-end due diligence processes but less formalized ongoing monitoring procedures.

This webinar continues our ongoing series focused on helping independent RIAs build more structured, defensible alternatives programs.

Our previous session focused on governance, due diligence, and program infrastructure. This session moves into the next critical area: ongoing monitoring, oversight, and fiduciary responsibility after the investment is made.

Reach out to request link to previous webinar: Building a Defensible Alternatives Practice: What every RIA should know

Event Webpage/Registration info: Click here to register!