When Clients’ Mental Capacity Diminishes: An Advisor’s Role
Here are the signs of dementia and other forms of cognitive decline, and how advisors can help the client and her family while protecting themselves.
3 IRA Transactions Exempt From DOL Fiduciary Level Fee Rule
There are three recommendations that are fiduciary in nature and automatically result in prohibited transactions under DOL's fiduciary rule, and they all involve IRAs.
Proposed: The DOL Fiduciary Standard Is Unworkable
One expert believes that the advisor industry is ill equipped to grasp what it really means to operate under a fiduciary standard.
My Personal Fund Screening Process
Using the Fiduciary Scorecard that I created helps me screen in the best mutual funds and ETFs for client portfolios.
The SEC Investor Advocate’s View Askew: The Illusion of Fee Disclosure
What’s missing in the SEC report are the costs to investors of recommendations by “advisors” who do not have a fiduciary duty.
A Subtle Benefit of Being an Independent Advisor
With no manager expecting higher “production” as you research stocks or bonds, you can actually pick what’s best for those clients.
In New Fiduciary World, Should Governance of the CFP Board Be Tweaked?
A veteran planner who spent quality time on the CFP Board and FINRA arb boards suggests CFPs themselves should control the direction of the profession.
After the DOL Fiduciary Rule, Enter the Fee-Based Variable Annuity
The long-suffering product class may be ripe for a comeback as hefty VA commissions are frowned upon under the DOL rule.
Perez Shrugs Off DOL Fiduciary Rule Lawsuits, Vows Continued Outreach to Industry
“Some folks in the industry want a Best Interest Rule as long as it’s not enforceable,” the Labor secretary said.
Celebrate July 4 — and Speak Out for Fiduciaries
Enjoy the barbecue, and also vow to speak out and help ensure industry lobbyists don’t become the public face of fiduciary advisors.