How Listed Private Equity Provides Access to the Performance of Private – ALPS – 11.10.17


Now On Demand.

Over the last decade private equity has grown at a rate of nearly four times that of public equity1. As a result, fewer and fewer companies are going public, seeking instead to maintain the benefits of being a private company. In fact, the Wilshire 5000 Index has less than half of the public companies it had just 20 years ago.

Despite the benefits of private equity, it remains an elusive asset class to many investors due to high minimums, long lock periods and investor restrictions.

Similar to the way that REITs transformed access to commercial real estate 25 years ago, Listed Private Equity (LPE) is changing the way investors gain exposure to private equity today. With a global universe of over 500 listed companies and $500+ billion2 in market capitalization, LPE offers investors exposure to the private equity business model with liquidity, transparency and diversification.

Join us for this educational webcast as we discuss the following:

  • Introduction to Listed Private Equity (LPE)
  • How Listed Private Equity Creates Value
  • Why Now? Attractive Valuations and Growth Opportunities
  • How Private Equity Fits in Portfolios

*Jeremy Held is a Registered Representatives of ALPS Portfolio Solutions Distributor, Inc. (APSD) and ALPS Distributors Inc. (ADI). * Richard Baker is a Registered Representatives of ALPS Portfolio Solutions Distributor, Inc. (APSD). APSD and ADI are affiliated.

1Sources: Bloomberg for Public Equity; Preqin for Private Equity as of 9/31/2017

2As of 9/31/2017

Sponsors of this webcast may contact registrants. This webcast is for financial professionals only.


Jeremy Held*, CFA
Director of Research & Investment Strategy
ALPS Portfolio Solutions

Jeremy began his career at ALPS in 1996 and has more than 20 years of experience in the asset management industry. He is responsible for research, product development, and consulting services on behalf of the ALPS ETF, Mutual Fund, and Closed-End Fund business segments. His research is focused on satellite and alternative asset classes, including Commodities, Master Limited Partnerships, Private Equity, Global Real Estate, Sectors and Emerging Markets.

Jeremy is a frequent speaker at investment conferences and his work has been published in several publications such as the Journal of Indexes, Research Magazine and Institutional Investor. Jeremy graduated with a B.S in International Business from the University of Colorado and is also a Charted Financial Analyst and a Certified Financial Planner.

Richard Baker*
Vice President, Portfolio Strategy
Red Rocks Capital

Richard has been a member of the product team since 2011. He has a BS in Computer Science from the University of Cincinnati and an MBA from the University of Washington, and holds FINRA Series 6 and 63 registrations.

Kirk McCown
Portfolio Manager
Red Rocks Capital

Kirk has been a member of the portfolio team since the inception of the fund in 2007 and has over 35 years of investment experience. He has a B.A. and M.A. from the University of Nebraska.


Title: How Listed Private Equity Provides Access to the Performance of Private Companies
Date: Friday, November 10, 2017
Time: 1:00 PM Eastern Standard Time
Duration: 1 hour

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Institutional Use Only. Not for Use with the Retail Public.

Important Disclosures & Definitions

An investor should consider investment objectives, risks, charges and expenses carefully before investing. To obtain a prospectus, which contains this and other information, please contact your investment professional. Read the prospectus carefully before investing.

Past performance is no guarantee of future results and future investments have the potential for

loss as well as profit.

Certain of the Fund’s investments may be exposed to liquidity risk due to low trading volume, lack of a market maker or legal restrictions limiting the ability of the Fund to sell particular securities at an advantageous price and/or time. As a result these securities may be more difficult to value. Foreign investing involves special risks such as currency fluctuations and political uncertainty. The Fund invests in derivatives and is subject to the risk that the value of those derivative investments will fall because of pricing difficulties or lack of correlation with the underlying investment.

There are inherent risks in investing in private equity companies, which encompass financial institutions or vehicles whose principal business is to invest in and lend capital to privately – held companies.

Generally, little public information exists for private and thinly traded companies, and there is a risk that investors may not be able to make a fully informed investment decision.

Listed Private Equity Companies may have relatively concentrated investment portfolios, consisting of a relatively small number of holdings. A consequence of this limited number of investments is that the aggregate returns realized may be adversely impacted by the poor performance of a small number of investments, or even a single investment, particularly if a company experiences the need to write down the value of an investment.

Not FDIC Insured • No Bank Guarantee • May Lose Value

ALPS | Red Rocks Listed Private Equity Fund is a series of Financial Investors Trust.

ALPS Portfolio Solutions Distributor, Inc., distributor for the ALPS | Red Rocks Listed Private Equity Fund.

RRC000691 12/29/17