In 1994, after ten years as a retail stockbroker and four years as marketing manager of a regional broker dealer, I formed Due Diligence Financial Services, Inc. to provide customized mutual fund analysis to broker dealers and their registered representatives. Investment firms employ legions of analysts to analyze individual equities, but very few engage in systematic analysis of mutual fund and closed-end fund products.

My firm initially offered risk-adjusted return analysis and rankings of mutual funds in thirteen investment objective categories for a preferred group of mutual fund vendors. The output of this analysis was designed to provide these rankings and additional information in a context that I would have found useful in a sales situation.

This analysis was than adapted to provide retail investment company management with comparative risk adjusted return and expense efficiency analysis of mutual providers across their product lines.

In recent years we have expanded our capabilities to the under-served and under-appreciated closed-end fund marketplace, providing risk-adjusted return and premium discount rankings for the universe of closed-end funds, by investment objective. We also provide qualitative and quantitative analysis of closed-end fund new issue analysis formatted to be useful to the retail investment representative.

I invite you to examine the examples of our analysis available on this website. Comments, questions, and feedback are always welcome.

Sincerely, Bob Rath.


• Independent, objective investment product analysis

• Designed to meet management fiduciary responsibilities and enhance representative product knowledge

• Twenty-five years investment industry experience

• Thirteen years investment product analysis experience

• Better information results in better sales outcomes


Open-End Mutual Fund Analysis - Quarterly Reference Guide – Designed for Use by Investment Representatives Learn More

Open-End Mutual Fund Provider Analysis - Annual Analysis – Designed for Use by Investment Program Management Learn More

Closed-End Fund Analysis - Quarterly Reference Guide – Designed for Use by Investment Representatives Learn More

Closed-End Fund New Issue Analysis - Qualitative & Quantitative Analysis Learn More