How Do We Think About Risk? How Do We Attempt to Control Risk?

We frequently receive questions around how we think about risk, and how we attempt to control it. We view investment risk as the risk of a permanent loss. We view volatility as a symptom of risk, but not an actual risk.

risk management

Risk management is embedded directly into the Prospector’s investment process, not to mention our DNA. The foundation of our investment philosophy is our assessment of downside risk - we first consider what can go wrong. Our emphasis on companies with strong balance sheets that generate free cash flow beyond their reinvestment needs helps the portfolio to weather equity market stress caused by hostile capital markets and/or recessionary economic conditions.

Prospector’s investment team performs a constant evaluation given a variety of factors, including: current market conditions, economic outlook, sector risks (current and future), existing portfolio exposures, interest rate environment, etc. Portfolio composition is reviewed constantly as are individual holdings using a bottom-up analysis approach. Market value changes are monitored daily both on an individual security, portfolio and sector basis. Market commentary is reviewed in order to be proactive rather than reactive.

We believe that risk can be managed at several levels. In the security selection process, we focus on the relationship between the actual market price of a security and the intrinsic value of which the security represents an interest. This is based on a bottom-up fundamental value analysis with an emphasis on balance sheet strength, free cash flow generation, and private market value analysis. Another individual security selection risk mitigation strategy is our use of convertible securities. We are attracted to their risk/reward proposition which offers a bond floor protection, should something go wrong, while allowing equity participation on the upside.

The next level of risk management happens at the portfolio construction level where we carefully monitor concentration, sector exposures, average daily trading volume of positions held, and portfolio volatility as measured by beta and standard deviation. An important Prospector maxim is to never “over bet our hand” on any one macro or micro factor.


This blog is an excerpt of our recent Q&A with the Portfolio Managers. We encourage you to explore the 10 other Q&As in the full document, available below. Topics include:

  • Why portfolio managers should have their personal assets invested alongside shareholders
  • Tips on avoiding Wall Street group think
  • How our approach to equities is similar to high-quality bond managers

Read Portfolio Manager Q&A

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The views described herein do not constitute investment advice, are not a guarantee of future performance, and are not intended as an offer or solicitation with respect to the purchase or sale of any security. Investing involves risk, including loss of principal. Investors should consider the investment objective, risks, charges and expenses of a Fund carefully before investing. Please review the offering memorandum or prospectus of a Fund for a complete discussion of the Fund’s risks which include, but are not limited to: possible loss of principal amount invested; stock market risk; value risk; interest rate risk; income risk; credit risk; foreign securities risk; currency risk and derivatives risk.

Nothing contained herein constitutes investment, legal, tax, or other advice nor should be relied upon in making an investment or other decision. Any projections, outlooks or estimates contained herein are forward looking statements based upon specific assumptions and should not be construed as indicative of any actual events that have occurred or may occur. 

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