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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
The Prudent Investment Adviser Rules
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Tag Archives: asset allocation
“The 401(k)/403(b) Investment Manual”
My new book, “The 410(k)/403(b) Investment Manual” is now available from both Amazon and CreatSpace. The manual is intended to provide both plan participants and plan sponsors with valuable information to allow them to properly evaluate the investment options within … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA
Tagged 401k, 401k compliance, 404c, 404c compliance, asset allocation, compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, retirement plans, risk management
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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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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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The Prudent Investment Fiduciary Rules 