Proving Compliance with RegBI Optimizer
PROVE COMPLIANCE WITH THE SUMMARY REPORT COMPARE ROLLOVER FEES PULL IN RETIREMENT PLAN DATA PRESENT CLIENTS WITH A COMPLETE COST PICTURE CRASH RATING PROVES YOUR RECOMMENDATION CONSIDERS THE CLIENT’S UNIQUE FINANCIAL PROFILE COMPARE YOUR FEES TO YOUR COMPETITORS MANAGE YOUR ADVISORS WITH THE ADMIN PORTAL When the SEC knocks, how will you prove compliance? With...Read More
Form CRS is the biggest Reg-BI compliance hurdle for RIAs
Reg-BI brings Broker-Dealers into a Fiduciary Standard. Registered Investment Advisors will be challenged to prove they are already putting their clients’ interests first and have processes that ensure ongoing compliance. Form CRS is a crucial hurdle in showing due diligence.
The Forecast Folly: Why financial experts rarely stand the test of time
Present success does not indicate future outcomes The Power of Other Opinions What do experts say about predictions? Two types of experts In Brief Present success does not indicate future outcomes Predictions are a form of guessing, where sometimes the guessing is more educated than others, and a more educated guesser is not necessarily more...Read More
What is the Best Interest, Anyway?
The devil’s in the details. DOL’s Fiduciary Rule Standard Reg-BI expands on FINRA’s Suitability Standard Best Interest according to a financial lawyer The devil’s in the details. Many of the terms used in Reg-BI, like “Best Interest” are not explicitly defined within the 1300 pages (guess they ran out of the room). In general, the...Read More
What’s going on with Equal Weighted Index Performance?
Lately, it seems the only equity investment worth making is in US large caps. The cheaper and more passive, the better. Of course, passive US large-cap equities are not the absolute best performing asset available over the past few years, but the category is pretty hard to beat for ease of implementation, known risk characteristics, price and performance.
Working Effectively – A conversation with Erik Solbakken (CPA)
The struggles of CPAs, RIAs, and BDs exist because of mindsets and practices anchored in old professional service business models. Erik Solbakken changed the way CPAs market and build client relationships by building an educational platform to train small firms on entrepreneurship strategies. In this part of the educational series, Yon chats with Erik about...Read More
Boris finally birthed his Brexit baby
Doctor, I can see the head Another Brexit referendum is off the table What about Europe? 28 may be a crowd. 27 EU members is a party. Doctor, I can see the head Residents and anyone visiting Ireland or the United Kingdom will be overwhelmed with news about Boris’ burgeoning baby, BREXIT. It is everywhere,...Read More
How to Manage Risk with Insurance Products – A conversation with Michael Robinson from the BluePrint Insurance Services
This part of the educational series with a discussion about incorporating insurance into a portfolio to grow at a consistent rate with less risk. Michael Robinson joins Yon to discuss his company, The Blue Print Insurance Services, which provides premier insurance for IRAs and comprehensive advisors. For Michael, insurance is a vehicle to increase revenue...Read More
What Are the Key Elements of Successful Marketing Campaign?
Adaptability and Efficiency Many of our clients use default marketing templates in Larkspur Executive, but that is only a small part of the Customized Trackable Marketing Letter (CTML) tool. Working with the Client Success Team to customize your templates can help you find a balance between efficiency and adaptability in your marketing campaigns. Rixtrema CEO,...Read More
Growth is precarious at best, says the IMF
Rixtrema CEO, Yon Perullo, and blog contributor, Colin Ward discuss the International Monetary Fund’s global growth expectations or lack thereof. We know that staying ahead of client worries and expectations is essential, so bring you this risk narrative to help quell concerns. The IMF estimates sluggish growth by advanced economies will be buoyed by emerging...Read More