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Approach

Our investment advisory services are designed to help individual investors preserve and grow their hard-earned assets to help support a lifetime of financial security. Serving as each client’s financial advocate, we provide a thorough and objective evaluation of recommendations and possible funding methods using the following approach:

  • A. We research the capital markets to understand the drivers of investment returns and volatility.
  • B. We constantly review new investment products and solutions.
  • C. We are committed to an uncommon level of due diligence.

A. We don’t rely on someone else’s opinion to drive our investment recommendations. We perform independent research, as well as review papers and articles from a wide variety of professional and academic journals to find information that confirms and/or contradicts our investment beliefs and furthers our understanding of the capital markets. Because the markets change rapidly, this research is fundamental to our process.

B. New investment products and solutions are introduced every day, yet many advisors continue to make the same recommendations year after year. Because we understand that “new” does not necessarily mean “better,” we carefully identify and evaluate new solutions for suitability and applicability to our clients’ specific needs. When superior products and solutions do come into play, we work with our clients to determine when and how to leverage new offerings to support their established financial goals.

New investment products and solutions are introduced every day, yet many advisors continue to make the same recommendations year after year. Because we understand that “new” does not necessarily mean “better,” we carefully identify and evaluate new solutions for suitability and applicability to our clients’ specific needs. When superior products and solutions do come into play, we work with our clients to determine when and how to leverage new offerings to support their established financial goals.

C. We believe that financial success is defined differently for every investor. We take the time to understand each client’s specific situation, investment experiences, and goals to offer highly customized and effective investment advice. We strive to educate our clients using open, straightforward communication, and we make ourselves available for ongoing discussion to build strong client relationships based on trust and understanding.

  • Private Company Stock

    Our team of experienced investment professionals is well-positioned to assist high net worth, family-office, and institutional investors who seek liquidity for their privately held securities. We primarily focus on negotiating and arranging for the purchase and transfer of private securities in later stage, venture capital financed, pre-IPO technology companies. Our value-added proposition, based on our relationships, access and insights, make Cathay DuPont the ideal partner for almost any liquidity situation.



    Managing Broker Dealer

    Cathay DuPont offers expert managing broker-dealer services for private placement offerings. From product inception to closing, we facilitate the entire process by performing a due-diligence review, assisting in the preparation of offering materials, and procuring soliciting-dealer agreements with other broker-dealers to form selling group syndicates. We also help process subscription documents, maintain a master blotter of all transactions, and manage the receipt of payments due to selling group members. Cathay DuPont also advises on Blue Sky filings and other documents necessary for finalizing the sale of securities by the sponsor.

  • Alternative Investments

    Cathay DuPont believes that alternative investments are an important part of a sophisticated investor’s portfolio. Utilized properly, alternative investments can provide diversification and may help decrease overall investment risk. Cathay DuPont ‘s robust alternative investment platform allows high net worth and institutional investors to take advantage of industry-leading opportunities in such non-traditional strategies. Emerson Equity’s offerings include financial instruments such as REITS, hedge funds/private equity, TICs/DSTs, oil and gas, equipment leasing, and other private placement securities.



    Strategic Relationships

    At Cathay DuPont, we have built valuable, long-standing strategic relationships with many of the industry’s most successful and innovative firms – from large Wall Street banks and sponsor companies, to innovators in the areas of private placements and alternative investments. In our work with these firms, we are dedicated to remaining nimble and flexible – all with the goal of delivering a broad range of carefully-vetted offerings to our clients.