- Journals, ledgers, account statements (including bank and trust statements), appraisals, etc., that support all assets and investments
- Analysis and reports from investment managers and consultants as well as performance measurement data
- Certificates, documents, statement of additional information (if a mutual fund), confirmations, and any and all necessary items depicting evidence of ownership of assets and investments
- Annual copies of Form ADV for each money manager, along with certification by the manager that appropriate registrations under the Investment Advisers Act of 1940 and the State Securities Board are maintained. In addition, the manager should certify that there is no material litigation pending against the manager that involves allegations of a breach of fiduciary duty or securities law violations
- For qualified plans, proof of satisfaction of the ERISA bonding requirements for all fiduciaries (including money managers and trustees) dealing with plan assets
- A detailed report of investment transaction turnover, costs, fees, and expenses
Transitioning your business is a major strategic decision that requires careful thought and planning. Download "Overcoming Transition Hurdles" to find solutions that can help you...
Our independent affiliates enjoy the freedom to make important choices and the professional resources of Stifel Nicolaus. To find out more, download our booklet, "The...
Creating a dynamic and effective strategy to communicate with clients of every age.
Apr 15, 2015
Clients are sometimes shell-shocked when they look at long-term care investment options. Smart advisors must be able to effectively communicate the importance of long-term care...
Feb 04, 2015
Clients are turning more to their financial advisors for guidance regarding how to handle their Social Security withdrawal strategy. Therefore, advisors need to not only...
Dec 01, 2014
There’s more to an investment portfolio than just stocks and bonds. More specifically, there’s more staying power to a portfolio that makes room for the...