Literature Category: Fiduciary Standard and Compliance

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Infographic: Advanced Technology Integrations - Turbocharging Productivity
Misc Downloads, Educational Materials
Format: pdf
Publication Date: 12/16

How do advisors benefit for advanced technology integration?

Infographic: Enhancing the Advisor's Value Proposition
Misc Downloads, Educational Materials
Format: pdf
Publication Date: 12/16

Ten ways to become an essential advisor.

Infographic: Enhancing the Lifecycle of Advice
Misc Downloads, Educational Materials
Format: pdf
Publication Date: 01/17

Using advanced technology to improve onboarding and create a better client experience

Let's Talk About Fees: Why transparency can help build trust with clients
Literature
Format: pdf
Publication Date: 11/13

This presentation discusses the approach to talking about fees with clients, who may have misconceptions about those fees. As an RIA or IAR, you are a financial fiduciary and must adhere to the highest ethical standards in the financial services industry. You must explain the service you provide and what services your client receives for your quarterly fee, including the bundled and continuous investment advice and service. As a result, you are paid by your clients to achieve their goals, not by third parties (broker‐dealers, mutual fund companies) who may have other objectives.

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