Jeff Baumgartner, CFA, JD
AREAS OF EXPERTISE
• Publicly-Registered Investments
• Non-Traded REITs
• Interval Funds
• 40 Act Funds
Jeff Baumgartner served FactRight as an alternative investment consultant for over three years prior to joining the team as Due Diligence Manager in April of 2021. In addition to being experienced at writing due-diligence reports which provide comprehensive, relevant, unbiased review of financial offerings including private closed-end 40 Act Funds, non-traded REITs, private equity funds, private placements, and debt structures, Jeff is intimately familiar with a variety of financial products.
Prior to joining FactRight, Jeff was Vice President of Finance at OppenheimerFunds where he was responsible for the accounting of 229 financial products totaling as much as $273 billion in assets. He managed 35 finance professionals and simultaneously headed up multiple departments including Net Asset Value Calculation, Board Reporting, Alternative Product Operations, Financial Reporting, and Securities Analysis.
Jeff has over 20 years of financial industry experience. He is skilled in developing systems, creating procedures and controls, and making strategic decisions. He has an extensive background in formulating and implementing strategic plans focused on accuracy and operational efficiency. He has been responsible for operations of over $10 billion in alternative investment structures including collateralized debt and loan obligations, commercial paper conduits, leveraged loan partnerships, and limited liability partnerships consisting of CDO equity.
Jeff is an analytical individual whose career focus has been on understanding complex and difficult-to account-for fixed income instruments. He has a deep passion for the advancement of ethical portfolio management.
- Juris Doctor, University of Denver-Sturm College of Law, Denver CO.
- Masters of Science in Finance, University of Colorado at Denver, Denver CO
- Bachelors of Science in Finance, Metropolitan State College of Denver, Denver, Co., Graduated Magna Cum Laude
- Chartered Financial Analyst
- Member – State Bar of Colorado
- Member – CFA Institute
Recent Blogs from FactRight
- FactRight Takes Salt Lake Cityby Kate@FactRight.com (Kate Stephany) on September 7, 2023 at 5:11 pm
*Olympic Trumpet flair*
- Navigating the Cap Rate Landscape: How Real Estate Cap Rates Relate to Real Interest Ratesby Jeff.B@factright.com (Jeff Baumgartner) on August 9, 2023 at 6:02 pm
With limited success for centuries, astronomers charted the stars with hopes of better understanding the universe until one day when Copernicus suggested that the earth was orbiting the sun. Once his epiphany was fully understood, empires could navigate the globe with unprecedented precision by knowing exactly where they were by looking up at the stars. Today, there is no shortage of cap rate/interest rate correlation theories in our industry. Perhaps more fully understanding commercial real estate cap rates and their orientation to interest rates can aid alternative investors in navigating the horizon of real estate investment opportunities.
- FINRA Regulatory Notice 23-08: Building on Regulatory Notice 10-22 to Develop More Robust Due Diligence of Private Placement Offeringsby jake@factright.com (Jacob Heidkamp) on June 28, 2023 at 6:26 pm
FINRA recently released Regulatory Notice 23-08, which provides a reminder to FINRA members of their reasonable investigation obligations when selling private placement investments to their clients under Regulation D. The Regulatory Notice marks FINRA’s first substantial discussion of due diligence related to private offerings since Regulatory Notice 10-22, which was released in April 2010, and forms a crucial part of the foundation of broker-dealer due diligence practices in satisfying their reasonable investigation requirements for offering private placement investment opportunities for their clients. While Regulatory Notice 23-08 does not create new legal or regulatory requirements or new interpretations of existing regulations, the notice does identify areas for consideration and focus for FINRA members in establishing new or modifying existing practices, based on certain observations and examples that FINRA has included in the Regulatory Notice 23-08. In this blog, we will explore some of these areas of focus and some practical steps broker-dealers can take to enhance their due diligence practices based on areas identified in Regulatory Notice 23-08.
- Not All Units Are Created Equal in Broker-Dealer and RIA-Distributed Investment Programsby gail@factright.com (Gail Schneck) on June 13, 2023 at 3:44 pm
This blog looks at what unit pricing in an investment program offering means to your investors and how to determine whether such pricing treats all investors “fairly.”
- Highlights from FactRight's 2023 RIA Spring Due Diligence Conferenceby sarah@factright.com (Sarah Thommes) on March 23, 2023 at 4:42 pm
We say this every conference, but we are so beyond grateful to all of you for making this Spring RIA Due Diligence Conference in beautiful Scottsdale, Arizona such a success! With over 350 total attendees, the FactRight staff cannot be more appreciative of your continued support and participation.