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Fiduciary Links: The New Wave of Financial Advisors

Posted by fi360 Team on July 14, 2014 in

>>>The current face of the financial industry can be a challenging one for new advisors. Joe Birkofer, a financial planner from Legacy Asset Management in Houston, also teaches a CFP class. Many of his students are changing careers, and their path isn’t always easy. In this article he explores the options available to these students. In many cases they face a severe pay cut, and the challenge of finding a salary position. Birkofer offers interesting advice, that these financial planners find a niche market that combines something they have experience in, with their financial planning...

Fiduciary Links: The New Wave of Financial Advisors

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Fiduciary Links: Is an adviser self-regulator a fait accompli?

Posted by fi360 Team on June 23, 2014 in Fiduciary Links

>>>At a recent CFA Institute conference focused on self-regulation for advisers, the panelists looked past the debate of whether an adviser SRO was the best option, and instead treated it as the inevitable conclusion to the regulatory oversight debate. They started directly with covering how an eventual SRO should operate and how that will affect advisers and their clients. In his most recent column for InvestmentNews, fi360 CEO Blaine Aikin covers some of what he heard at the event, including the CFA Institute’s report on the 10 characteristics that an effective SRO must demonstrate. Those characteristics...

Fiduciary Links: Is an adviser self-regulator a fait accompli?

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Fiduciary Links: Looking forward to the next big advisor fee model

Posted by fi360 Team on June 16, 2014 in Fiduciary Links

>>>>>In his column for Financial Planning magazine, Bob Veres gives a short history lesson on how broker and advisor fee models have changed over the years, before taking a look at the next potentially game-changing model. He suggests all advisors take a look at the monthly retainer model that some younger advisors are employing to target younger investors. The model can help both the advisor build their book of business at a younger age, while also allowing investors who don’t actually have assets to be managed gain the benefit of advice from a...

Fiduciary Links: Looking forward to the next big advisor fee model

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Wall Street Litigation Opens Window on Product Sales Conflicts

Posted by Duane Thompson on June 13, 2014 in Great Sources of Information In the News Legal

>>>The attempted defection by most of Deutsche Bank Securities’ private client group to an advisory firm last month offers a new twist to the old-fashioned tale of broker-poaching on Wall Street. In what may be a sign of the times, Wall Street executives are now encountering a new fiduciary culture emerging within its ranks, not merely brokers jumping ship for greener pastures. According to court documents in two lawsuits filed with the New York Supreme Court in Manhattan last month, Deutsche Bank Trust Company Americas v. HPM Partners and Pace v. Deutsche Bank Securities Inc.,...

Wall Street Litigation Opens Window on Product Sales Conflicts

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Fiduciary Links: Considering 401(k) plans from advisor and client perspectives

Posted by fi360 Team on June 02, 2014 in Fiduciary Links

>>>>>This week’s links included numerous articles pertaining to 401(k) plans, which both advisors and clients may find useful. Consider this article by ThinkAdvisor, which claims that just one or two options for fixed income in your retirement plan lineup may not be enough to meet your clients’ needs. It stresses the need for advisors to find the right balance of stocks and bonds for clients. There were also some great links to share with your clients about their retirement. This US News article claims that retirement should come first, in most cases....

Fiduciary Links: Considering 401(k) plans from advisor and client perspectives

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