Financial Advisor Vs. Investment Adviser

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The Dirty Little Secret Investment Advisors Don't Want You To Know - Forbes
Investment advisors charging 1% or more face three problems with the above portfolios. First, they are guaranteed to underperform the markets. Since index funds track markets, and since the advisor is charging a hefty 1% fee, even this English major.

Why You Still Can't Trust Your Financial Adviser - Bloomberg
Conflict of Interest Final Rule | United States Department of Labor United States Department of Labor.

TIAA to pay $5M in 401(k) excessive-fee suit - InvestmentNews
Plaintiffs brought the suit against TIAA in October 2015, claiming their plans overpaid in administrative and investment management fees. They also said the plans were filled entirely with investments managed by and paying fees to TIAA, the complaint said.

Fidelity's approach to DOL fiduciary rule rankles some 401(k) advisers - InvestmentNews
quot;Based on their feedback, as well as our unique insights, we chose to put the needs of our plan sponsor, participant and adviser customers first by offering to provide financial advice," Fidelity spokesman Stephen Austin said. Keith Metters, senior.

DOL fiduciary rule causing DC-plan record keepers to change business with insurance agents - InvestmentNews
Record keepers such as Principal Financial Group have told independent agents who sell or service retirement plans, and who are not licensed with a broker-dealer or registered investment adviser , that they can't receive compensation after January.

Robo-Advisor vs Financial Advisor – Which is Best?
Here’s what you need to know about the differences between robo-advisors that manage your investment portfolio automatically thanks to algorithms and proprietary software and traditional financial advisors. Robo-advisors are different than traditional.

Advice vs guidance definition 'fell short', says Lords memo
conducted by the Financial Conduct Authority (FCA) and the Treasury. The memo seen by New Model Adviser® states: 'The previous definition of regulated investment advice fell short of properly identifying the boundary between advice and guidance.

Financial Contrast: PennantPark Floating Rate Capital (PFLT) vs. Invesco California Value Municipal Income Trust (VCV) - The Ledger Gazette
PennantPark Floating Rate Capital (NASDAQ: PFLT) and Invesco California Value Municipal Income Trust (NYSE:VCV) are both finance companies, but which is the better stock? We will compare the two businesses based on the strength of their analyst&nbsp.

Both Sides Wrong In Real Estate Vs. Stocks Contest: Financial Advisors' Daily Digest
Rob Marstrand critiques a study ranking real estate highest in investment rate of return ... For now, here are other financial advisor-related links.

Investments that advisers should look at in an overheated market - InvestmentNews
Put another way: A January 1, 2000 investment in PowerShares QQQ ETF, which tracks the Nasdaq 100, would have returned an average 2.87% a year, vs . 5% for the Vanguard Total Bond Index ETF. What's an adviser to do? If clients have long amounts of time.

3(38) vs. 3(21) investment fiduciary services: the pros and cons for 401(k) advisers - InvestmentNews
quot;Boy, if everyone was a 3(38) we'd only be monitoring 20 funds instead of 500 funds," said Susan Shoemaker, a partner at Plante Moran Financial Advisors , whose firm offers both types of fiduciary services. Some plan sponsors may have had a fund in the&nbsp.