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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: wealth management
“Apples to Apples” and Other Investment Return Issues
I just finished reading Judge Doty’s decision dismissing the Wells Fargo 401(k) excessive fees action and the complaint filed in the new Capital Group/American Funds 401(k) breach of fiduciary duties action. Just seems to be further evidence that we have … Continue reading
Posted in 401k, 401k compliance, 404c compliance, closet index funds, compliance, DOL fiduciary rule, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, investment advisers, investments, pension plans, retirement plans, RIA
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, BICE, closet index funds, compliance, DOL rule, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, retirement plans, securities compliance, wealth management
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Quantifying the Impartial Conduct Standards Under the DOL’s New Fiduciary Rule
With a portion of the DOL’s new fiduciary rule scheduled to go into effect at midnight tonight, there are still some unanswered questions with regard to how some key terms will be interpreted. The key terms in question are primarily … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c compliance, Annuities, BICE, compliance, DOL fiduciary rule, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, investment advisers, pension plans, retirement plans, RIA, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, Annuities, best interests, BICE, compliance, DOL fiduciary rule, ERISA, fiduciary, fiduciary law, fiduciary standard, Impartial Conduct Standards, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, risk management, wealth management, wealth preservation
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The Investor Revolution: A “Best Interests” Checklist for Investors and Fiduciaries
The DOL recently announced that it will not seek to delay the effective date of the department’s new fiduciary law. Beginning June 9, 2017, anyone providing advice to pension plans and plan participants will be deemed to be a fiduciary, … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investments, pension plans, retirement plans, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, best interests, compliance, ERISA, fiduciary, fiduciary law, fiduciary standard, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, risk management, suitability, wealth management, wealth preservation
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Guest Column-Simple Advice to Retirement Plan Sponsors
I generally do not post or allow other parties to post on any of my blogs due to legal concerns. However, Ary Rosenbaum is a fellow attorney and posts some extremely useful and informative material online with regard to ERISA … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, ERISA, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, pension plans, retirement plans, wealth management
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Controlling the Controllable: Factoring Investment Costs Into the Prudence/Suitability Equation
Facts do not cease to exist because they are ignored. – Aldous Huxley In an earlier post, I discussed the benefits of controlling the controllable aspects of investing. Investors cannot control the performance of the markets. Investment fiduciaries are not … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, DOL fiduciary standard, elderly investment fraud, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, financial planning, investment advisers, investments, IRAs, pension plans, retirement plans, RIA, robo-advisors, special needs advice, special needs planning
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, elder investment fraud, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, retirement plans, suitability, wealth management, wealth preservation
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Emerging Asset Allocation “Trap?”
As both a securities/ERISA attorney and a CFP® professional, I realize that I often see things from a different perspective that other in those professions. Some would say that is an advantage, others say it’s a disadvantage. I have definitely … Continue reading
Posted in 401k compliance, 404c compliance, compliance, DOL fiduciary standard, elder law, elderly investment fraud, fiduciary compliance, fiduciary law, fiduciary standard, financial planning, investment advisers, investments, IRAs, pension plans, RIA Compliance, securities, special needs advice, wealth management, wealth preservation
Tagged 401k, 401k compliance, asset allocation, compliance, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, financial planning, investment advisers, investment analysis tools, modern portfolio theory, portfolio optimization, retirement plans, RIA compliance, RIA risk management, risk management, securities compliance, suitability, wealth management, wealth preservation
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Special Needs Trusts and Your Value-Added Proposition
Excellent discussion and analysis on a subject that is gaining increasing attention by both financial planners, financial advisers and attorneys, as the need for such services continues to grow as people realize the significant benefits, and protection, that experienced professionals … Continue reading
Posted in elder law, elderly investment fraud, financial planning, investment advisers, special needs advice, special needs planning, trust realtionships, wealth management, wealth preservation
Tagged disability issues, disability law, elder investment fraud, elder law, fiduciary investing, financial planning, special need law, special needs trusts, wealth management, wealth preservation
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Fiduciary Standard vs. Suitability Standard: The “Gotcha” That Won’t Go Away
There is currently a lot of speculation on how and if the new Trump administration will attempt to undo the DOL’s new fiduciary rule. Opinions range from an attempt to delay the effective date of the new rule to a … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, fiduciary compliance, fiduciary law, fiduciary standard, investment advisers, investments, pension plans, retirement plans, RIA, RIA Compliance, securities, securities compliance, wealth management
Tagged 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, FINRA, investment advisers, pension plans, retirement plans, RIA, RIA compliance, risk management, securities compliance, suitability, wealth management
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Make a Little Magic: Developing Trust Relationships With Clients
As both a securities attorney and a CFP® professional, I get to see a side of the financial planning and wealth management industries that few get to see – the consumer’s inside viewpoint on the marketing and service practices side … Continue reading
Posted in DOL fiduciary standard, evidence based investing, fiduciary compliance, investment advisers, Trust marketing, trust realtionships, wealth management, wealth preservation
Tagged client trust, ERISA, fiduciary investing, FINRA, investment advisers, investment analysis tools, pension plans, trust relationships, wealth management, wealth preservation
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A Fiduciary Blueprint: The Restatement of Trusts, the Prudent Investor Rule and the DOL’s New Fiduciary Rule
A [fiduciary] is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is the standard of behavior…. Meinhard v. Salmon, 249 N.Y. 458, 464 (1928) Ever … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, Annuities, BICE, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, investment advisers, investments, IRAs, pension plans, retirement plans, RIA, RIA Compliance, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, Annuities, best interests, BICE, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, suitability, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 
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