Wealth Management

JULY 11, 2025

We’ll now review the many changes since that time and how fiduciaries can continue to educate themselves on those differences. The Internal Revenue Service provided clarity around reporting requirements, and the Securities and Exchange Commission had a predictable mandate on what was legally actionable. In late 2024, the U.S.

Estate Planning

Nerd's Eye View

SEPTEMBER 27, 2024

Also in industry news this week: As brokerage firms have faced a wave of lawsuits regarding the low interest rates paid on cash sweep accounts, some legal experts believe that RIAs could also be targeted for legal action if they allow clients' uninvested cash to sit in a cash sweep account rather than investing it or moving it to a higher-yielding (..)

Financial Planner

WiserAdvisor

JUNE 12, 2022

For example, some advisors are paid via commissions on the sale of financial products like stocks, mutual funds, policies, etc. Although financial advisory services may not always be very economical, its benefits, more often than not, may outweigh the expenses. Ensure that the financial advisor is bound by fiduciary duty.

Financial Advisor

Brown Advisory

JANUARY 3, 2023

Imagine an investment manager who seeks to avoid geopolitical and regulatory risks, leveraged situations due to high capital intensity, and companies that are highly sensitive to commodity prices, economic cycles, or changing consumer preferences. Sounds reasonable, right?

Fiduciary Duty

Brown Advisory

JANUARY 3, 2023

Imagine an investment manager who seeks to avoid geopolitical and regulatory risks, leveraged situations due to high capital intensity, and companies that are highly sensitive to commodity prices, economic cycles, or changing consumer preferences. 1 1987, the United Nations Brundtland Commission definition of sustainable development.

Fiduciary Duty

Brown Advisory

JANUARY 3, 2023

Imagine an investment manager who seeks to avoid geopolitical and regulatory risks, leveraged situations due to high capital intensity, and companies that are highly sensitive to commodity prices, economic cycles, or changing consumer preferences. 1 1987, the United Nations Brundtland Commission definition of sustainable development.

Fiduciary Duty

Sara Grillo

NOVEMBER 14, 2022

Do advisors breach fiduciary duty when they fail to recommend annuities? Should those with only insurance licenses that allow them to sell annuities and/or life insurance be held to the same “fiduciary standard” as Registered Investment Advisers (RIAs) with the SEC or state regulators? Are commissions bad?

Insurance