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Tag Archives: Active Management Value Ratio
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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Putnam Investments, LLC v. Brotherston: Pivotal Point for 401(k)/403(b) Industries?
Putnam Investments has filed a petition with the Supreme Court (SCOTUS) asking the Court to review the First Circuit Court of Appeals decision vacating a lower court’s decision that ruled in favor of Putnam. Brotherston had alleged that Putnam breached … 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, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, pension plans, prudence, retirement plans, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, pension plans, prudence, retirement plans, wealth management, wealth preservation
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Why 401(k)/403(b) Actions Are Far From Over…and How to Prevent Them
When I read the district court’s decision in Brotherston v. Putnam Investments, LLC1, I read all the social media stories and posting proclaiming the end of 401(k)/403(b) fiduciary breach actions. My email accounts were flooded with “I told you so” … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interest, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, prudence, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, ERISA, fiduciary investing, fiduciary law, Fiduciary prudence, investment analysis tools, pension plans, prudence, wealth preservation
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The Active Management Value Ratio FAQs
Glad to get the feedback from people who like and are actively using the Active Management Value Ratio™ 3.0 (AMVR). I though I would share some of the frequently asked questions (FAQs) in case they help others using the AMVR … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interest, closet index funds, cost consciousness, cost efficient, ERISA, fiduciary compliance, fiduciary law, 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, best interests, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, pension plans, wealth management, wealth preservation
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May It Please the Court: The Cost-Efficiency Quotient
In my last post, I suggested that the correlation of returns between funds in a 401(k)/403(b) plan might be considered the “X” factor in ERISA litigation going forward. In this post, I want to discuss another emerging factor in ERISA … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, 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, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, prudence, retirement plans, wealth management, wealth preservation
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Correlation of Returns: The ERISA 404(c) Fiduciary “X” Factor
I received an email the other day from a local 401(k) plan. The email was short and simple – “we would you like you to come and present your ‘404(c) Fiduciary Liability Circle’ presentation.” After I gave the presentation, I … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, closet index funds, cost consciousness, cost efficient, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, 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, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, prudence, retirement plans, wealth management, wealth preservation
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The First Circuit’s Putnam Decision – Where Does ERISA 401(k)/403(b) Litigation Go Now?
The First Circuit Court of Appeals (First Circuit) recently handed down its decision in Brotherston v. Putnam Investments, LLC. The First Circuit vacated the lower court’s decision in which the court had dismissed the plaintiff’s ERISA excessive fees/breach of fiduciary … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, closet index funds, cost consciousness, cost efficient, ERISA, ERISA litigation, 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, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, retirement plans, risk management, wealth management, wealth preservation
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Evaluating Judicial Dismissals of 401(k)/403(b) Fiduciary Breach Actions
Recently, there have been a number of court decisions dismissing 401(k)/403(b) ERISA breach of fiduciary actions. I have to admit, I am still puzzled by some of the decisions, as the rationales cited by some of the courts seems to … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, closet index funds, compliance, cost consciousness, cost efficient, 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, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, retirement plans, wealth management, wealth preservation
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The Georgetown University 403(b) Decision and the Future of 403(b) Fiduciary Litigation
The recent dismissal of the Georgetown University 403b excessive fees/breach of fiduciary action has led some to suggest that such actions are now over. A closer look at the Georgetown decision suggests that that opinion may be premature. I always … Continue reading
Posted in 403b, closet index funds, consumer protection, cost consciousness, cost efficient, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, investments, pension plans, prudence, wealth management, wealth preservation
Tagged 403b, Active Management Value Ratio, AMVR, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, wealth management, wealth preservation
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