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Portfolio Advisors, LLC

PRI reporting framework 2020

You are in Strategy and Governance » Investment policy

Investment policy

SG 01. RI policy and coverage

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate if you have an investment policy that covers your responsible investment approach.

01.2. Indicate the components/types and coverage of your policy.

Select all that apply

Policy components/types

Coverage by AUM

01.3. Indicate if the investment policy covers any of the following

01.4. Describe your organisation’s investment principles and overall investment strategy, interpretation of fiduciary (or equivalent) duties,and how they consider ESG factors and real economy impact.

Portfolio Advisors will incorporate certain ESG considerations into its due diligence, monitoring, and reporting processes where consistent with its ESG Policy and fiduciary responsibilities. As part of PA's due diligence and investment committee process, PA will take into account ESG factors that may be relevant to a particular general partner's investment strategy, in particular as it may apply to certain industry sectors and/or portfolio companies. For active investments, PA will track broad ESG parameters of underlying funds. Also, PA will monitor general partners it has invested with and promote ESG principles, where applicable.

Portfolio Advisors has been registered with the SEC as an investment adviser since 1994, thus is subject to the rules and regulations set forth in the Investment Advisers Act of 1940. The broad anti-fraud provisions of the Advisers Act impose fiduciary duties on investment advisers, including an affirmative duty of “utmost good faith” to act in the best interest of the client and the duty to “provide full and fair disclosure of all material facts” that may have an impact on an investment adviser’s independence and judgment. PA professionals must act for the benefit of their clients and place their clients' interests before their own. 

01.5. Provide a brief description of the key elements, any variations or exceptions to your investment policy that covers your responsible investment approach. [Optional]

Portfolio Advisors’ ESG policy establishes guidelines for integrating ESG factors into the investment process and outlines ESG-related principles that guide investment decision-making.  Portfolio Advisors has incorporated ESG questions and criteria into the Firm’s primary fund due diligence. For example, PA asks general partners, prior to investing in their funds, if they have an ESG policy. Additionally, PA asks general partners to describe the process for identifying and understanding ESG risks and opportunities during due diligence and how potential risks impact the investment decision. PA also asks for examples of potential transactions that the general partner has rejected on ESG grounds (pollution or the use of child labor, for example). Finally, PA also asks general partners to what extent they are working on ESG issues within existing portfolio companies.

01.6. Additional information [Optional].


SG 01 CC. Climate risk (Private)

SG 02. Publicly available RI policy or guidance documents


02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

02.3. Additional information [Optional].

SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

The Firm has a conflicts of interest policy that is not publicly available.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Not Completed)