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Author Archives: jwatkins
The Active Management Value Ratio™- Revealing the Undisclosed Cost of Actively Managed Mutual Funds
Despite overwhelming evidence that actively managed mutual funds generally under-perform passively managed index funds, the evidence indicates that most investors continue to purchase and hold actively managed funds. Even when an actively managed fund does outperform its relevant index, the … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA Compliance, securities, securities compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, asset allocation, compliance, fiduciary, fiduciary law, investment advisers, investment analysis tools, modern portfolio theory, portfolio optimization, retirement plans, RIA, RIA compliance, risk management, securities compliance, suitability
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Is ERISA Section 408(b)(2) the New 401(k) Fiduciary’s Achilles’ Heel
On July 1st, the disclosure requirements of ERISA 408(b)(2) go into effect with regard to plan providers and plan sponsors. Disclosure requirements between plan sponsors and plan participants are scheduled to go into effect at the end of August. Plan … Continue reading
Posted in 401k, 401k compliance, 401k investments, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA, RIA Compliance
Tagged 401k, 401k compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, retirement plans, RIA compliance, securities compliance
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Integrated Estate Planning: A Win-Win for Both Clients and Wealth Managers
The concept of wealth management is an interesting proposition. A recent study by CEG Worldwide concluded that only 6 percent of those holding themselves out as wealth managers actually provided comprehensive wealth management services, with the remaining 94 percent simply … Continue reading
Five Legal Decisions Every RIA and Fiduciary Should Know
In his most recent book, “The New Wealth Management, “ respected industry expert Harold Evensky noted that investment advisers have an obligation to understand both their professional duties and their legal responsibilities. While compliance violations often result in fines, legal … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance, securities compliance
Tagged asset allocation, compliance, fiduciary, fiduciary law, investment advisers, modern portfolio theory, portfolio optimization, RIA compliance, risk management, securities compliance, suitability
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SEC Focuses on Compliance and CCOs
SEC alert demonstrates need for CCOs to focus on both compliance and risk management, both for firm and personal protection. http://www.investmentnews.com/article/20120205/REG/302059986
Running the Investment Compliance “Gauntlet”
As most people know, I focus on helping RIA professionals with both compliance and risk management issues. Far too many times I have performed compliance audits where the RIA has all of the required files and manuals, but a poor … Continue reading
New Compliance and Liability White Paper
With the new year comes the renewal of the debate over one universal fiduciary standard for those providing investment advice to the public. What many compliance professionals do not realize is that many jurisdictions already impose a fiduciary standard on … Continue reading
Posted in 401k compliance, 404c compliance, compliance, investments, retirement plans, RIA, RIA Compliance, securities compliance
Tagged 401k, 401k compliance, 404c compliance, ERISA, investment advisers, retirement plans, RIA compliance, risk management, securities compliance, suitability
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That Dog Won’t Hunt
First, my apologies for the delay between posts. It has been incredibly busy between helping advisers prepare for the conversion to state supervision, helping new RIAs set-up their practices and performing fiduciary audits. I think RIA firms are finally getting … Continue reading
3 FAQs on RIA Ks
I recently received a call from an RIA firm that had been cited during an audit for having an improper RIA client contract. The CEO explained that they had tried to save some money by copying an advisory contract from … Continue reading
Posted in compliance, RIA, RIA Compliance
Tagged compliance, RIA, RIA compliance, risk management
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Investment Advisers and the Internet
First, the necessary disclaimer – there is no way to cover all the applicable rules and regulations regarding investment advisers and the internet in a single blog. While it is hoped that the analysis provided herein is helpful, it is neither … Continue reading
Posted in compliance, investments
Tagged compliance, FINRA, investment advisers, investment analysis tools, RIA compliance, suitability, web sites
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The Prudent Investment Fiduciary Rules 
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