Literature Category: Fiduciary Standard and Compliance

How do advisors benefit for advanced technology integration?

Ten ways to become an essential advisor.

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

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.