A Summary of Proposed Rule 206(4)-11
November, 28 2022
Background On October 26, 2022, the SEC released Proposed Rule 206(4)-11, which would require advisers to conduct due diligence prior to engaging a 3...
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Plan Economics: Fees & Expenses of Employer Sponsored ERISA Retirement Plans
September, 29 2022
Introduction Fiduciaries of Employer Sponsored ERISA Retirement Plans (“Plans”) have the duty to act in the best interest of Plan participants and...
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Excessive Fee Litigations: Reckless Allegations
August, 23 2022
Excessive fee litigation against retirement plan fiduciaries and service providers has grown from a one-off event into a cottage industry....
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Dos and Don'ts of Managing Investors Cash
August, 10 2022
During these historical and unpredictable market conditions, the issue of safety has become paramount and investor attention turns to safety....
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The Cost of Quality in Financial Services
August, 1 2022
There is little question about the desirability of high quality in products and services. On the other hand, there is very little consensus on the...
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QAIB Glossary
March, 11 2022
Quantitative Analysis of Investor Behavior Terms Explained For purchasers of DALBAR's Annual Investor Behavior Study, QAIB, terms used in the...
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QAIB Frequently Asked Questions (FAQ)
March, 11 2022
How Much Does QAIB Cost? The Full Study price is $975 (preorder and save $180) and includes a Derivative Works license to use data in customized...
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The Target Date Replacement
March, 2 2022
What is Prudent Asset Allocation? Prudent Asset Allocation (“PAA”) is an overarching investment strategy that separates investors assets into two...
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Bridging Those Market Valleys
March, 2 2022
What is Prudent Asset Allocation? Prudent Asset Allocation (“PAA”) is an overarching investment strategy that separates investors assets into two...
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Prudent Asset Allocation Case Study
February, 23 2022
What is Prudent Asset Allocation? Prudent Asset Allocation (“PAA”) is an overarching investment strategy that separates investors assets into two...
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Always Having Cash When You Need It
February, 23 2022
What is Prudent Asset Allocation? Prudent Asset Allocation (“PAA”) is an overarching investment strategy that separates investors assets into two...
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Capturing Your Fair Share of Stock Markets
February, 23 2022
What is Prudent Asset Allocation? Prudent Asset Allocation (“PAA”) is an overarching investment strategy that separates investors assets into two...
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The Best Way to Make Your Retirement Funds Work for You
February, 23 2022
What is Prudent Asset Allocation? Prudent Asset Allocation (“PAA”) is an overarching investment strategy that separates investors assets into two...
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Adviser Marketing: Standing Behind Endorsements
February, 10 2022
What Does the Adviser Marketing Rule Cover? The SEC recently published new rules on adviser marketing that became effective in May of 2021. The new...
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Adviser Marketing: A New Day for Testimonials
February, 10 2022
Financial Adviser Marketing Breaks out of the Stone Age The arena of adviser marketing has historically been approached conservatively, and with good...
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