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Recent Posts
- Battle of the Best Interests – Whose Are the EBSA and the DOL Supposed to Serve, and Whose Are They Really Serving?
- Guest Article On Supreme Court’s Decision to Hear the Intel Case
- Fair Dinkum: A Critique of the EBSA’s Amicus Brief in Pizarro v. Home Depot
- Upon Further Review; The 3 X 3 Analysis That Shows Why Prudent Plan Sponsors Will Never Offer Annuities Within Their Plan
- The DOL’s Pizarro v. Home Depot Amicus Brief: Borzi and Gomez Don’t Live Here @ EBSA Anymore
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Category Archives: Active Management Value Ratio
Putnam Investments, LLC v. Brotherston: The End of “Business as Usual” for 401(k) Plans
Earlier this year I posted an article on this blog, “Putnam Investments, LLC v. Brotherston: Pivotal Point for 401(k)/403(b) Industries?” The article focused on the potential impact of the case regarding both the general operation of 401(k) plans and legal … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interest, closet index funds, compliance, consumer protection, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment advisers, investments, pension plans, prudence, Reg BI, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, retirement plans, suitability, wealth management
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“Fair Dealing”-The Key to Navigating the Suitability, Best Interest and Fiduciary Standards
Any intelligent fool can make things bigger and more complex… It takes a touch of genius-and a lot of courage to move in the opposite direction. – Albert Einstein With FINRA’s recent announcement that it will keep its suitability rule and … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c compliance, Active Management Value Ratio, AMVR, best interest, closet index funds, compliance, consumer protection, cost consciousness, cost-efficiency, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, fiduciary liability, fiduciary standard, pension plans, Reg BI, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, DOL fiduciary rule, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, FINRA, investment analysis tools, pension plans, Reg BI, retirement plans, risk management, suitability, wealth management, wealth preservation
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Q3 2019 Top Ten 401(k) Mutual Funds “Cheat Sheet”
At the end of each calendar quarter, InvestSense calculates new Active Management Value Ratio™ (AMVR) data for our clients. We also publish for the public an AMVR analysis of the top ten actively managed mutual funds in U.S. 401(k) plans, … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, best interest, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, investment advisers, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investment analysis tools, pension plans, wealth management, wealth preservation
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“Think Different” – The Often Overlooked Key Fiduciary Liability “Gotcha” Question
What is the first thing you consider when selecting investments? There is a familiar saying in the investment industry – “amateur investors focus on investment returns; professional investors focus on investment risk. Studies have shown that three out of four … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, evidence based investing, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, prudence, Reg BI, retirement plans, SEC, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, retirement plans, risk management, securities compliance, suitability, wealth management, wealth preservation
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The Future is Now: SCOTUS and Putnam Investments, LLC v. Brotherston
SCOTUS has yet to decide whether to hear the case of Putnam Investments, LLC v. Brotherston. I continue to argue that the ultimate decision in this case could have a significant impact on the future of the 401(k) industry and … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interest, consumer protection, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment advisers, investments, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, DOL fiduciary rule, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, investment analysis tools, pension plans, retirement plans, wealth management, wealth preservation
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Investopedia Top 100 Most Influential Financial Advisor Honor
Honored to be named by Investopedia as one of the Top 100 Financial Advisors for 2019. Unlike a lot of other “top” lists, Investopedia bases its selection largely on criteria such as contributions to online media to educate investors on … Continue reading
Posted in Active Management Value Ratio, AMVR, consumer protection, fiduciary law, fiduciary standard, investment advisers, securities compliance, wealth management, wealth preservation
Tagged Active Management Value Ratio, AMVR, fiduciary, fiduciary investing, fiduciary standard, investment advisers, investment analysis tools, prudence, wealth management, wealth preservation
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The “Hidden” Message in Reg BI
Like many others, I was eager to review the final version of the SEC’s Reg BI. As an attorney, I was anxious to see whether “prudence” was still expressly set out in Reg BI’s Care Obligation. As many had predicted, … Continue reading
Posted in 401k, 403b, Active Management Value Ratio, AMVR, best interest, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, evidence based investing, fiduciary compliance, Fiduciary prudence, investment advisers, investments, Reg BI, SEC, wealth management, wealth preservation
Tagged Active Management Value Ratio, AMVR, best interests, evidence based investing, investment advisers, Reg BI, risk management, suitability, wealth management
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Designing a “Win-Win” 401(k)/403(b) Defined Contribution Plan
As a forensic ERISA attorney. I use forensic analysis to demonstrate effective risk management strategies to pension plans. I also design liability-driven, “win-win,” 401(k) and 403(b) plans (hereinafter “401(k) plans”). “Win-win” 401(k) plans are plans that provide plan participants with … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, pension plans, prudence, retirement plans, risk management, wealth management
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The Cost-Efficiency Standard: Streamlining the ERISA 401(k)/403(b) Litigation Process
Any darn fool can make things bigger and more complex… It takes a touch of genius – and a lot of courage – to move in the opposite direction. – Albert Einstein Simplicity is the ultimate sophistication. – Leonardo da … Continue reading
Posted in 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, closet index funds, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investments, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, ERISA, ERISA liability, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, wealth management, wealth preservation
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ERISA Risk Management and the Forensic ERISA Attorney
I was at a reception last week when someone asked me the question I love to hear – “so, what do you do for a living?” “I am a forensic ERISA attorney.” Head tilt, accompanied by polite stare. “I reverse … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, pension plans, prudence, retirement plans, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 
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