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Guiding Principles

The following guiding principles serve to demonstrate our commitment to providing access to alternative investments, in order to create balanced and diversified portfolios for individual investors, with the goal of improving performance and reducing unnecessary investment risk.
The guiding principles reflect and explicitly define our ongoing commitment to educating and empowering investors with straight-forward, transparent and easy-to-understand information to make good financial decisions when considering portfolio diversifying investments.
These principles act as a framework to guide our association, our members, financial advisors and other industry stakeholders on how as we provide national leadership, together to provide access to alternatives.

Our purpose is to provide access to investment portfolio diversification for all individual investors. We are committed to providing insight to our key stakeholders, such as investors, brokers, financial advisors, regulators, and legislators on the benefits of alternative investments. Our actions aim to equip investors with practical guidance and information so they can build balanced and diverse portfolios.

The Institute supports increased access to alternative investment strategies that typically have lower correlation to the broader markets. We are committed to removing the artificial barriers preventing individual investors and retirement savers from accessing the same portfolio diversifying investments that for too long have only been available to the wealthy and institutions.

The Institute is committed to the principle that financial professionals should put the client at the center of any investment recommendation. We firmly believe that there is no place in the financial services industry for misinformation and manipulative or deceptive practices when recommending any investment or alternative asset. Portfolio diversifying investments may not be suitable for everyone but are broadly considered an excellent diversification tool.

We are dedicated to driving innovation in our industry to improve all aspects of our products, their use and the markets in which they are offered. The Institute is also committed to providing Americans with transparent information about alternative and portfolio diversifying investments, including how they work, performance, costs, fees, benefits, provisions and requirements. Investors achieve the best outcomes when they have a full understanding of the financial products in which they invest.

History has shown that broad access to financial markets combined with a robust and modern regulatory framework is a positive driver of economic growth. The Institute is committed to identifying ways that our regulatory framework can be improved for the benefit of investors. These improvements should always result from due diligence and debate to arrive at the best possible solution for Americans.