DCF Charitable Partners Application Form

Step 1 of 8

Please complete the following application to become a Charitable Partner of the DCF. Your application will be reviewed for approval by the DCF Investment Committee, and you will be notified within 30 days. Approved partners will be listed on our website.

We recommend reviewing How the Charitable Partner Program Works and all questions on the application before beginning. You will have the option at any time to save and continue the application later.
Contact Information
Organization Name
Investment Advisor Name
First Last
Address
Street Address Address Line 2 City State ZIP Code
Phone
Email
Enter Email Confirm Email
Website

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Organization
A. Is your firm registered as an investment or management advisor with the SEC?
- Yes
- No
B. Describe your organization including date founded, corporate structure, office locations including which office this account would be serviced, key affiliations with other companies. If your organization is a subsidiary, parent or affiliate of another firm, please describe the relationship.
C. What is your firm’s ownership structure and succession plan?
D. What is your business continuity plan; how do you manage organizational risk?
E. To what degree does your organization function as a fiduciary?
F. Describe any conflicts of interest you may have as an investment advisor.
G. Has your organization, or any employee, ever been involved in litigation relating to investment activities?

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Team
A. List the personnel you propose to assign to this relationship, including brief biographical information.

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Investment Policy Development
A. Provide a brief summary of your firm’s investment philosophy.
B. How do you manage investment risk in client portfolios?
C. Describe any unique strategies or approaches your firm has used for portfolios similar to those you would propose for a fund of the DCF.

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Manager Selection
A. Describe your firm’s process for identifying, evaluating and selecting potential investment managers for a specific client.
B. Describe how your firm handles the manager due diligence process.
C. Describe your firm’s experience in selecting and monitoring managers in alternative asset classes such as hedge funds, private equity and real estate.

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Performance Measurement
A. Describe how your firm measures portfolio performance.
B. Describe your methodology and sources of data for analyzing and evaluating your clients’ overall portfolio performance, including risk assessment.
C. How many business days after the end of a reporting period are performance reports available?
D. Provide a sample of a Quarterly Performance Report and a Custodial Statement.
Drop files here or

Accepted file types: pdf, doc, docx, jpg, jpeg, gif, tiff, xls, xlsx.

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Fees
A. How are your fees determined?
B. What other costs or expenses might the DCF incur with your firm?

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Community Involvement
A. Are there specific ways your firm supports community charitable involvement?
B. What unique value-added services could you provide to the DCF?

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Paul L. Bechly, Financial Advisor, Morgan Stanley

Daniels & Tansey

Brian Davis, Financial Advisor, Morgan Stanley

Garrett Hadley, Financial Advisor, Morgan Stanley

Charles Mitchell, Financial Advisor, Morgan Stanley

Duene Oaks, SEI

Robert Pennartz, The Financial House

Peni Warren, Merrill Lynch

The Hart Group/Jennifer Wick, Merrill Lynch

Charitable Partner Benefits

Benefits to You

• Continue to manage and earn fees on assets your clients donate to the DCF.
• Maintain strong client relationships.
• Add philanthropic advice to your offering.
• Get help facilitating donations of non-cash assets, bequests and other complex gifts.
• Ensure your clients’ charitable giving aligns with their other financial goals.

Benefits to Your Clients

• Immediate tax advantages.
• Highly personalized service from people who are passionate about Delaware.
• Access to expertise and relationships to maximize the impact of their charitable giving in Delaware and around the world.
• A place in our community of givers, including opportunities to learn about community needs and how to help improve the lives of others.
• Continue to benefit from your trusted advice.

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DCF Charitable Partners Application Form

Step 1 of 8

Contact Information

Organization

Team

Investment Policy Development

Manager Selection

Performance Measurement

Fees

Community Involvement

DCF Charitable Partners

Charitable Partner Benefits

Benefits to You

Benefits to Your Clients