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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Adviser Marketing: What's an Advertisement?
February, 10 2022
The SECs New Adviser Marketing Rule The SEC published new rules on adviser marketing that became effective in May of 2021. The new rule brings...
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A Best Interest Approach to Asset Allocation
December, 17 2021
Asset allocation has been practiced in an arbitrary way since the dawn of the Modern Era[1]. While thought to be beneficial, great improvements to...
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Are You Sure You are Acting in Your Client's Best Interest?
November, 18 2021
Financial Professionals have a difficult task of complying with regulatory requirements while also doing their best to act in their client's best...
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Proposed ESG Regulations Pave the Way for ESG Investing in ERISA Plans
October, 18 2021
The DoL’s proposed rule, "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights" (“ESG Proposal”) released on October...
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4 Quick Observations on the DOL's Proposed ESG Rule
October, 14 2021
Today, the Department of Labor published its proposed rules on ESG investments and proxy voting within ERISA plans. The proposed rule is entitled, "...
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How Advisors Prevent Investor Panic Selling
October, 4 2021
It seems fitting, if not ironic, that in the year 2020 hindsight emerged as an important theme. The COVID-19 pandemic had taken the world by storm...
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Insurer Provides Best Practices to Avoid ERISA Litigation
September, 20 2021
With the extreme rise in ERISA lawsuits has also come a rise in insurance premiums. One insurer shared their tips for plan sponsors to mitigate the...
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The 3 Fundamental Questions of Retirement Planning
September, 17 2021
“If you fail to plan, you’re planning to fail.” These words, from the immortal Founding Father Benjamin Franklin, have been recited countless times...
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Factors Influencing Future Returns
September, 16 2021
It is a natural reaction for institutions and individuals to want to find out how much money their investments have earned or lost. This holds the...
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Why Returns can't be Evidence of a Fiduciary Breach
September, 15 2021
Background It is a natural reaction for institutions and individuals to want to find out how much money their investments have earned or lost. This...
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