Clients, Definition and Fiduciary Duty - Financial Advisor Source

Seeking Best Execution: Understanding The SEC’s Expectations For Advisors To Deliver Best Outcomes For Clients

Nerd's Eye View

NOVEMBER 20, 2024

Investment advisers are fiduciaries that owe a duty of care and loyalty to their clients. One component of this duty of care is an obligation to seek best execution of client securities transactions. The SEC, in its interpretive release, sets an expectation of "periodic and systematic evaluation" (i.e.,

Fiduciary Duty

Fiduciary Duty Clients Commission Accounting

CFP Board’s Crypto Guidelines Offer a Word of Caution

eMoney Advisor

DECEMBER 20, 2022

Whether up or down, it’s likely they are here to stay, and financial advisors will continue to be asked about them by their clients. According to a survey from Bitwise and ETF Trends, 94 percent of financial advisors fielded client questions about cryptocurrency in 2021. Risks Associated with Crypto. Proceed with Knowledge.

CFP

CFP Fiduciary Duty Financial Advice Education

Transcript: John Montgomery, Bridgeway Capital Management

The Big Picture

MAY 20, 2025

00:02:52 [Speaker Changed] Well, the statistical side definitely comes from my degree and then work as a project manager at MIT. I, I had no idea you were so international in, in the philanthropic sphere, but we’ll definitely circle back to that. Tell us about the mutual funds in ETFs you run on behalf of Bridgeways clients.

Management

Management Numbers Transportation Accounting

Webinars

The New Way Remote Finance Teams Are Protecting Accuracy And Building Resilience In A Cyber-Threatened World

Your Accounting Expertise Will Only Get You So Far: What Really Matters

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Does being a fiduciary financial advisor REALLY matter – or is it “meh?”

Sara Grillo

AUGUST 14, 2023

Why is the fiduciary standard important in financial advice? The fiduciary standard is important because it defined parameters for behaviors impacting the way that financial advisors treat their clients. Someone who has a conflict of interest can not operate as a fiduciary. Federal statutory law: Section 206.

Financial Advisor

Financial Advisor Fiduciary Duty Insurance Financial Advice

ESG: Virtue or Vice? Wrong Question.

Brown Advisory

JANUARY 3, 2023

Let’s face it, the world of sustainable investing is home to a mix of trillions of newly committed dollars, ill-defined processes at some firms, and a set of clients and investment professionals with powerful, “extra-financial” motivation to literally save the world. Some of it was frankly overdue.

Fiduciary Duty

Fiduciary Duty Portfolio Management Clients

ESG: Virtue or Vice? Wrong Question.

Brown Advisory

JANUARY 3, 2023

Let’s face it, the world of sustainable investing is home to a mix of trillions of newly committed dollars, ill-defined processes at some firms, and a set of clients and investment professionals with powerful, “extra-financial” motivation to literally save the world. Some of it was frankly overdue.

Fiduciary Duty

Fiduciary Duty Portfolio Management Clients

ESG: Virtue or Vice? Wrong Question.

Brown Advisory

JANUARY 3, 2023

Let’s face it, the world of sustainable investing is home to a mix of trillions of newly committed dollars, ill-defined processes at some firms, and a set of clients and investment professionals with powerful, “extra-financial” motivation to literally save the world. Some of it was frankly overdue.

Fiduciary Duty

Fiduciary Duty Portfolio Management Clients

Empower (formerly Personal Capital) Review – Managing All Your Investments in One Place

Good Financial Cents

JUNE 11, 2023

Then there’s Blueleaf, which I subscribe to for my clients and find to be excellent on both accounts, but it’s not available to the DIY investor. We accept a fiduciary obligation to act in your best interest, and our advice must be aimed at making money for you, not for us. What are the cons of Personal Capital?

Management

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The Other 95%

Brown Advisory

APRIL 16, 2018

Developing Sustainable Investment Plans Standard Process, Added Layers of Thought In our work with all of our endowment and foundation clients, we follow a disciplined process to ensure that we: Discover and fully understand the nonprofit’s long-term objectives. Also, clients differ on which issues they view as purely programmatic (i.e.,

Nonprofit

Nonprofit Portfolio Distribution Clients

The Other 95%

Brown Advisory

APRIL 16, 2018

In our work with all of our endowment and foundation clients, we follow a disciplined process to ensure that we: Discover and fully understand the nonprofit’s long-term objectives. When our clients want to include mission-driven investments in a portfolio, it adds another dimension of goals and priorities to the discovery exercise.

Nonprofit

Nonprofit Portfolio Distribution Clients

Transcript: Ilana Weinstein

The Big Picture

JULY 4, 2023

I know you don’t disclose your clients, but the Wall Street Journal certainly mentioned those. ” I just had this with a client who runs a very large, not multi-manager, but multi-strategy fund. And the phone rings an hour in and it’s my client. RITHOLTZ: Really? It was year one or so of IDW.

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Conversation with the Portfolio Manager: Sustainable Core Fixed Income Strategy

Brown Advisory

SEPTEMBER 15, 2017

Every year, we see more and more of our clients looking for ways they can use ESG investment principles to potentially boost returns, align their investments and values and make an impact on the world. Amy: We’re by no means trying to dictate what sustainable investing means for our clients. How do you define “sustainable”?

Portfolio Management

Portfolio Management Portfolio Management Fiduciary Duty

Conversation with the Portfolio Manager: Sustainable Core Fixed Income Strategy

Brown Advisory

SEPTEMBER 15, 2017

Every year, we see more and more of our clients looking for ways they can use ESG investment principles to potentially boost returns, align their investments and values and make an impact on the world. Amy: We’re by no means trying to dictate what sustainable investing means for our clients. How do you define “sustainable”?

Portfolio Management

Portfolio Management Portfolio Management Fiduciary Duty

Transcript: Gretchen Morgenson

The Big Picture

JUNE 20, 2023

Anyway… RITHOLTZ: Well, it’s definitely better. It had been prevented, had been barred from that before because of this fiduciary duty idea and also because of the opacity of these instruments. He was one of their top clients when they were selling these bonds of slightly lower quality… RITHOLTZ: Slightly lower quality.

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Financial Advisor Source

Seeking Best Execution: Understanding The SEC’s Expectations For Advisors To Deliver Best Outcomes For Clients

CFP Board’s Crypto Guidelines Offer a Word of Caution

Webinars

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Transcript: John Montgomery, Bridgeway Capital Management

Webinars

Does being a fiduciary financial advisor REALLY matter – or is it “meh?”

ESG: Virtue or Vice? Wrong Question.

ESG: Virtue or Vice? Wrong Question.

ESG: Virtue or Vice? Wrong Question.

Empower (formerly Personal Capital) Review – Managing All Your Investments in One Place

The Other 95%

The Other 95%

Transcript: Ilana Weinstein

Conversation with the Portfolio Manager: Sustainable Core Fixed Income Strategy

Conversation with the Portfolio Manager: Sustainable Core Fixed Income Strategy

Transcript: Gretchen Morgenson

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