Chapter 6: Hedge Funds

Understanding Their Strategies, Structures, and Role in a Portfolio

Chapter Contents

1

What is a Hedge Fund?

Hedge funds are private investment funds that use a wide variety of complex strategies to generate returns. Unlike traditional mutual funds, they are lightly regulated, open only to accredited (wealthy and sophisticated) investors, and have the flexibility to use tools like leverage, short selling, and derivatives. Their primary goal is often to generate alpha (absolute, market-beating returns) regardless of market direction.

Primary Objective

Generate alpha (absolute returns) that are uncorrelated with market movements through sophisticated investment strategies.

Investor Base

Limited to accredited investors - wealthy individuals, institutions, and sophisticated investors who meet specific criteria.

2

Distinguishing Characteristics of Hedge Funds

Key Features That Set Hedge Funds Apart

  • Flexible Mandates: Can invest across a broad range of assets and use aggressive strategies.
  • Leverage: Frequently use borrowed money to amplify potential returns (and risks).
  • Short Selling: Can profit from falling asset prices.
  • Less Regulated: Face fewer legal and regulatory constraints than mutual funds.
  • Liquidity Constraints: Often have lockup periods (when investors cannot withdraw money) and gates (limits on withdrawals) to manage liquidity.
  • Performance Fees: Typically charge a "two and twenty" fee structure—a 2% management fee and a 20% performance (incentive) fee on profits.
  • Less Transparency: Provide limited information to partners and have lower reporting requirements.
3

Hedge Fund Strategies

Hedge fund strategies are diverse and are typically grouped into broad categories.

Equity Hedge

Long/Short Equity

Takes long and short positions in equity securities. This is the original and most common hedge fund strategy.

Sub-Strategies:

Fundamental Long/Short, Market Neutral, Short Biased

Event-Driven

Corporate Events

Seeks to profit from specific corporate events, such as mergers, acquisitions, bankruptcies, or restructurings.

Sub-Strategies:

Merger Arbitrage, Distressed/Restructuring, Activist

Relative Value

Price Discrepancies

Exploits small pricing discrepancies between related securities. This strategy often uses significant leverage.

Sub-Strategies:

Convertible Bond Arbitrage, Fixed-Income Arbitrage

Opportunistic / Macro

Macro Trends

Makes bets on the direction of broad markets (e.g., interest rates, currencies, commodities) based on macroeconomic trends.

Sub-Strategies:

Global Macro, Managed Futures

4

Hedge Fund Structures and Investment Forms

Legal Structure

Limited Partnership Structure

Hedge funds are typically structured as limited partnerships, with the fund manager acting as the General Partner (GP) and investors as Limited Partners (LPs).

Master-Feeder Structure

A common structure for global funds is the Master-Feeder Structure, which combines capital from both U.S. (onshore) and non-U.S. (offshore) investors into a central master fund.

How to Invest in Hedge Funds

Direct Investment

Investing directly into a single hedge fund or a Separately Managed Account (SMA) tailored to an investor's specific needs.

Best for: Large institutions with due diligence capabilities

Indirect Investment

Investing in a vehicle that, in turn, invests in multiple hedge funds. The most common form is a Fund of Hedge Funds (FOF).

Benefits: Diversification but adds extra layer of fees

5

Risk, Return, and Diversification

Sources of Return

Hedge fund returns can be broken down into three components:

Market Beta

Return from exposure to broad market risk.

Strategy Beta

Return from the specific risk factors of the fund's strategy.

Alpha

The excess return generated by the manager's skill, independent of market and strategy betas. This is what hedge funds are paid to deliver.

Challenges and Biases

Survivorship Bias

Failed funds are excluded from databases, artificially inflating average returns of surviving funds.

Backfill Bias

New funds add strong past performance to databases, inflating historical averages.

Impact: Measuring true hedge fund performance is difficult due to several reporting biases in hedge fund databases.

Liquidity Management Tools

To protect against mass withdrawals during periods of poor performance, hedge funds use several tools to manage liquidity:

Lockup Periods

A period after the initial investment during which investors cannot withdraw their capital.

Notice Periods

Require investors to give advance notice (e.g., 30-90 days) before a withdrawal.

Gate Provisions

Limit the amount of capital that can be withdrawn from the fund during any given redemption period.

Diversification Benefits

Why Include Hedge Funds?

A key attraction of hedge funds is their potential to provide diversification. Many strategies have low correlation to traditional stock and bond markets. Adding a carefully selected allocation of hedge funds to a traditional portfolio can potentially reduce overall portfolio volatility and increase risk-adjusted returns (as measured by the Sharpe ratio), especially during market downturns.

Portfolio Correlation

Low correlation with traditional assets can improve risk-adjusted returns

Downside Protection

Many strategies designed to perform well during market stress