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Answering Your Questions on Fees, Services, and a Prudent Process for IRA Rollovers

Posted by Fi360 Team on September 20, 2017 in

On Tuesday of this week, we conducted our quarterly Coaching Call for Designees on the topic of Fees, Services, and a Prudent Process for IRA Rollovers.  During the presentation, Robin Green, Chuck Hammond, and Duane Thompson looked at the changing environment for the IRA rollover market and what it means for advisors who are offering those services. For active AIF®, AIFA, and PPC designees who were not able to attend, a replay is available in the Designee Portal.  There were a number of questions that our panelists were not able to get to before the conclusion...

Answering Your Questions on Fees, Services, and a Prudent Process for IRA Rollovers

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5 Factors To Consider Before Adding Newer Investments To Fiduciary Accounts

5 Factors To Consider Before Adding Newer Investments To Fiduciary Accounts

Posted by John Faustino, Chief Product & Strategy Officer on September 08, 2017 in Fiduciary Excellence Fund Analysis

While the three-year history is used as a gating factor for evaluating many investments, there may be instances where it’s prudent to select newer investments for fiduciary accounts. Waiting for three-years of history should not be a hard rule, but rather a guiding principle for evaluating investments with readily available characteristics. Here are five factors that should be considered in determining whether a new investment warrants consideration for a fiduciary account.

Answers To Your 'The HSA Opportunity for Retirement Advisors' Questions

Posted by on August 31, 2017 in

Earlier this week, we presented a webinar on The HSA Opportunity for Retirement Advisors. We received more questions during the webinar than we were able to answer during our 60 minutes. Here are your answers.

Answers To Your 'The HSA Opportunity for Retirement Advisors' Questions

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Raising the Bar with the Fi360 Fiduciary Score

Raising the Bar with the Fi360 Fiduciary Score

Posted by Robin Green on August 18, 2017 in

See how fund families rank! The Fi360 Fiduciary Score® is a peer percentile ranking. It evaluates investments across a spectrum of nine quantitative data points to determine if the investment meets a minimum fiduciary standard of care.

Are annual investment reviews enough?

Posted by Dave Palascak, AIF®, CFA on August 17, 2017 in Putting Process into Practice Spotlight on Practices

Errors of omission within the fiduciary process (not doing what is prudent or prescribed) are more common than errors of commission (doing something that is prohibited by law, regulation, or governing documents). Establishing and following clear, concise and practical policies and procedures for monitoring reduce compliance risks and help ensure that clients’ best interests are served.

Are annual investment reviews enough?

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