Literature Category: Fiduciary Standard and Compliance

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White Paper: The Fiduciary Opportunity
Industry White Papers, White Papers, Misc Downloads
Format: pdf
Publication Date: 12/16

In this paper we will explore these industry dynamics and how successful advisors of the future will evolve their value proposition from making investment product recommendations to meeting the digital expectations of the consumer while also engaging clients in a more comprehensive conversation about the important goals and aspirations they have for their wealth— delivering a lifecycle of advice. This unique industry inflexion point is what we see as the Fiduciary Opportunity.

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.

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

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

Ten ways to become an essential advisor.

Pages