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

Nerd's Eye View

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. Read More.

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How to Find a Fiduciary Financial Advisor

Darrow Wealth Management

For non-fiduciary financial advisors, recommendations may only need to be suitable , not necessarily in the client’s best interest. Hybrid firms can switch between their status as a registered investment advisor and brokerage, which can be problematic for individuals seeking unbiased financial advice.

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How to Find a Fee-Only Financial Advisor

Darrow Wealth Management

Fee-only firms are unique as they do not receive commissions from selling financial products, such as insurance policies or investment products. Fee-only financial advisors are often registered investment advisors too, meaning they have a legal duty to act in the clients best interest. Independent firm.

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Investing in Pigs and Kidneys: Building a $100 Billion Empire and Revolutionizing Organ Transplants

Investing Caffeine

A whole aisle of books could be written about Rothblatts impressive lifetime accomplishments, but the unique investment opportunity for investors cannot be fully understood without appreciating the person that created United Therapeutics 29 years ago in 1996. Source: United Therapeutics Investment Opportunity of a Lifetime?

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Digital Currencies, Modern Trusteeship and Change

Wealth Management

Sponsored Content Alternative Investments Summit: Navigating the New Frontier Alternative Investments Summit: Navigating the New Frontier Apr 11, 2025 stock portfolio sectors model portfolios Investing Strategies RIA Model Portfolio Assets Rose 5.5% in Q1 RIA Model Portfolio Assets Rose 5.5% In late 2024, the U.S.

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Extracting Actionable Takeaways From The SEC’s Staff Bulletin Regarding An RIA’s Standard Of Care

Nerd's Eye View

There is a general understanding that investment advisers have a fiduciary relationship with their clients – in other words, that they are required to act in the client's best interests. These 3 components in practice make up a core part of the adviser's fiduciary duty to their clients.

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When Are Advisors (Financially) Liable For Negligent Investment Advice? (And Who Pays For It)

Nerd's Eye View

For example, if an advisor recommends an investment that prioritizes the commission they would receive rather than any benefit the client would derive from it, they could incur fines and sanctions for violating their fiduciary duty as an advisor.