Truemind Capital

SEPTEMBER 10, 2019

Fiduciary duty should be on the top of the mind of any genuine adviser. Commissions earned from product manufacturers have significant potential to affect investment recommendations. An RIA is allowed by SEBI to earn fees for investment advisory from clients, and barred from earning commissions from product manufacturers.

Investing 52

Investing Investments Asset Allocation Fiduciary Duty 52

The Big Picture

MAY 20, 2025

We have a fiduciary duty to them. At the other end of the spectrum would be things like manufacturing, transportation, utilities. And I choose the former, our shareholders are investors, our clients are our boss. I should know what’s really going on. Research and development.

Management 130

Management Numbers Transportation Accounting 130

WiserAdvisor

MARCH 13, 2025

Check for fiduciary duty and registration One of the first things to check is whether the advisor has a fiduciary duty. A fiduciary financial advisor is legally expected to act in your best interest. Matched advisors are all registered with FINRA/SEC. Click to compare vetted advisors now.

Financial Planning 40

Financial Planning Planning Financial Advisor Fiduciary Duty 40

Brown Advisory

APRIL 16, 2018

This specificity helps guide the nonprofit’s board and investment committee members as they carry out their fiduciary duty. Does it want to focus solely on manufacturers, or extend screening to organizations that distribute alcohol, partner with alcohol companies, and so forth?

Nonprofit 52

Nonprofit Portfolio Distribution Clients 52

Brown Advisory

APRIL 16, 2018

This specificity helps guide the nonprofit’s board and investment committee members as they carry out their fiduciary duty. Does it want to focus solely on manufacturers, or extend screening to organizations that distribute alcohol, partner with alcohol companies, and so forth?

Nonprofit 52

Nonprofit Portfolio Distribution Clients 52

Investing Caffeine

MARCH 25, 2025

If UKidney is successful, United Therapeutics and Martine Rothblatt will be one step closer to realizing the companys vision of manufacturing an endless supply of transplantable organs. Source: United Therapeutics Investment Opportunity of a Lifetime?

Investments 59

Investments Investing Fiduciary Duty Healthcare 59

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 59

Insurance Retirement Financial Advisor License 59