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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
The Prudent Investment Adviser Rules
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Tag Archives: RIA compliance
Outsourcing: Panacea or Placebo?
Outsourcing has become a buzzword in the investment advisory industry. I have had many RIA firms tell me that they have outsourced bot their compliance and wealth management functions, allowing them to concentrate solely on marketing and gathering assets. In … Continue reading
2016 So Far and the Levy Decision
I recently posted an article on my blogs about the fact that not everyone is losing money in 2016. I had several people respond negatively, some rudely so, suggesting that I did not understand the cyclical nature of the stock … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance, securities, securities compliance, wealth management, wealth preservation
Tagged compliance, fiduciary, fiduciary law, investment advisers, RIA compliance, RIA risk management, risk management, securities compliance, wealth management, wealth preservation
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Some Common RIA Mistakes That Regulators Are Focusing On in 2016
Going to start the new year with a rather brief, but important, post. The regulators have announced their intent to perform more RIA audits in 2016. Some recent cases have highlighted issues that do not regularly receive the amount of … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance
Tagged compliance, fiduciary, fiduciary law, investment advisers, RIA, RIA compliance
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Combining the Active Management Value Ratio 2.0™ and the Active Expense Ratio – A More Meaningful Evaluation of Fiduciary Prudence
“The two variables that do the best job in predicting [a mutual fund’s] performance are expense ratios and turnover.”- Burton Malkiel, “A Random Walk Down Wall Street” Registered investment advisers and their representatives are fiduciaries. The courts have consistently held … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c compliance, asset allocation, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, portfolio optimization, RIA, RIA compliance, suitability, wealth management, wealth preservation
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Protecting Your Practice with the Active Management Value Ratio 2.0™
RIAs often have mock audits performed. These audits generally focus on the various regulatory requirements for RIA, including the various documents and internal procedures of an RIA. More often than not, these mock audits do not include a forensic fiduciary … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, RIA, RIA Compliance, securities, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, investment analysis tools, pension plans, portfolio optimization, retirement plans, RIA, RIA compliance, RIA risk management, risk management, securities compliance, suitability, wealth management, wealth preservation
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Investment Industry Has Some ‘Splaining to Do
“[B]rokers’ recommendations must be consistent with their customers’ “best interest.(1) “[A] central aspect of a broker-dealer’s duty of fair dealing is the suitability obligation, which generally requires a broker-dealer to make recommendations that are consistent with the best interests of … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, RIA, RIA Compliance, securities compliance, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, pension plans, retirement plans, RIA compliance, suitability, wealth management
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Robo-Advisers: Best Deck Chairs on the Titanic?
Much has been written recently about robo-advisers, including the perceived threat to traditional investment advisers. Robo-advisers do provide an opportunity for investors to receive asset management services, investors whose assets would not meet the high minimum requirements often charged by many … Continue reading
Posted in fiduciary compliance, investments, robo-advisors, roboadvisors, wealth management, wealth preservation
Tagged compliance, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, portfolio optimization, RIA compliance, risk management, robo-advisors, roboadvisors, wealth management, wealth preservation
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The RIA Name Game
One of my favorite jobs was serving as director of RIA compliance at FSC Securities. I love working with RIAs, as they are clearly the future of the financial services industry. While I loved working with RIAs and helping them … Continue reading
“Best Interests” For Fiduciaries 101
Facts do not cease to exist simply because they are ignored. – Aldous Huxley With the release of the DOL’s proposed fiduciary regulations, there has been a considerable amount of discussion about what “best interests” really means and how to … Continue reading
Oil and Water: Fiduciaries and Variable Annuities
The financial services industry continues to try to convince investment advisers and other financial fiduciaries to sell variable annuities. Smart RIAs and other financial fiduciaries ignore these pleas, as they realize that variable annuities are liability traps for fiduciaries, blatant … Continue reading
Posted in 401k, 401k compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA, RIA Compliance, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, fiduciary, fiduciary investing, fiduciary law, financial plans, FINRA, investment advisers, pension plans, retirement plans, RIA, RIA compliance, securities compliance, suitability, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 
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