Hedge funds and “sophisticated investors”

A hedge fund is a limited partnership that is open only to sophisticated investors. Sophisticated investors include financial institutions, pension fund managers, some charities and trusts, and a few individuals. Hedge funds are not required to register with the SEC.

Individuals who qualify as sophisticated investors must meet one of two criteria:

6. “a natural person who has individual net worth, or joint net worth with the person’s spouse, that exceeds $1 million at the time of the purchase;
7. a natural person with income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year; or …”[1]

It’s possible to be very wealthy and not understand anything about financial instruments, hedge funds, or anything related to financial markets. To a certain degree, hedge funds are designed to transfer wealth from those individuals to the fund managers.


[1] Source: http://www.sec.gov/answers/accred.htm.

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About Tony Lima

Retired after teaching economics at California State Univ., East Bay (Hayward, CA). Ph.D., economics, Stanford. Also taught MBA finance at the California University of Management and Technology. Occasionally take on a consulting project if it's interesting. Other interests include wine and technology.