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Recent Posts
- 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
- DOL’s Betrayal of American Workers Sends a Clear Message to American Workers: We Really Don’t Give a Damn About You!
- Implications of Section 78(3) of the Restatement (Third) of Trusts and the Expanding “Knew or Should Have Known” Liability Standard in the Era of AI
- Closing Argument: Humble Arithmetic, Common Sense, and Fiduciary Liability vs. In-Plan Annuities
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Category Archives: ERISA litigation
“Fundamental Unfairness: Defined Contribution Plans and the Courts-Part I”
Facts do not cease to exist because they are ignored – Aldous Huxley Men occasionally stumble across the truth, pick themselves up and quickly move on, as if nothing ever happened. – Sir Winston Churchill I provide fiduciary oversight consulting … Continue reading
Posted in 401k, 401k investments, 403b, 404c, 404c compliance, cost consciousness, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, asset allocation, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, retirement plans, wealth management, wealth preservation
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The Active Management Value Ratio™ 3.0: Minimizing Fiduciary Liability Exposure for 401(k) Plan Sponsors
Price is what you pay, value is what you receive. – Warren Buffett A court recently dismissed an ERISA excessive fees/breach of fiduciary duty action based, at least in part, on its argument that using Vanguard mutual funds as benchmarks in … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, closet index funds, compliance, cost consciousness, ERISA, ERISA litigation, evidence based investing, fiduciary compliance, fiduciary law, 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, best interests, ERISA, evidence based investing, fiduciary, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, prudence, retirement plans, RIA risk management, risk management, wealth management, wealth preservation
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“Avoiding ‘Lipstick on a Pig’: Evidence-Based Investing for ERISA Fiduciaries”
“You can put lipstick on a pig, but it’s still a pig.” – Wall Street saying I often serve as a consultant to securities/ERISA attorneys and 401(k)/403(b) retirement plans. I am often asked to perform a forensic analysis of an … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, closet index funds, compliance, cost consciousness, DOL fiduciary rule, DOL fiduciary standard, ERISA, ERISA litigation, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, 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, best interests, BICE, compliance, DOL fiduciary rule, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, retirement plans, suitability, wealth management, wealth preservation
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The Active Management Value Ratio 3.0: Investment Returns and Wealth Preservation for Fiduciaries and Plan Fiduciaries
Studies have consistently shown that people are more likely to understand and retain information that is conveyed visually rather than verbally or in print. I regularly receive requests for copies of the PowerPoint slides. So for those of you that … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, BICE, closet index funds, cost consciousness, DOL fiduciary rule, DOL fiduciary standard, elderly investment fraud, ERISA, ERISA litigation, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, 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, best interests, BICE, compliance, DOL fiduciary rule, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, wealth management, wealth preservation
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2017 Year-End Top 10 DC Funds AMVR Analysis
Each year “Pensions and Investments” publishes a list of the top 50 mutual funds used by defined contribution (DC) plans. The rankings are based solely on the amount of money invested in each fund within DC plans. I do an … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, BICE, closet index funds, compliance, cost consciousness, DOL fiduciary rule, ERISA, ERISA litigation, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, pension plans, prudence, retirement plans, wealth management
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, BICE, compliance, DOL fiduciary rule, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, retirement plans, wealth management
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Fiduciary Litigation 2018: A Pure Heart and an Empty Head Are No Defense
After my recent post, “Are We At A ‘Tipping Point’ in ERISA Fiduciary Litigation,” I received a number of calls and emails from legal colleagues and investment professionals who wanted to discuss the points I raised. In the post, I … Continue reading
Posted in 401k, 401k compliance, 403b, 404c, closet index funds, cost consciousness, DOL fiduciary rule, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, financial planning, Impartial Conduct Standards, investment advisers, investments, pension plans, prudence, retirement plans
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, compliance, Compliance Gauntlet, DOL fiduciary rule, ERISA, ERISA litigation, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, retirement plans, risk management, wealth management
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