tag:blogger.com,1999:blog-7670130944774258191.comments2023-09-28T10:35:21.460-04:00AdvisorAssist BlogAdvisorAssisthttp://www.blogger.com/profile/06286601856299410073noreply@blogger.comBlogger18125tag:blogger.com,1999:blog-7670130944774258191.post-88981981211125342292020-02-20T08:42:04.641-05:002020-02-20T08:42:04.641-05:00thank you. this was very helpful.thank you. this was very helpful.Bill DuBoishttps://www.blogger.com/profile/08684783029431108071noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-88000726804771390822019-12-08T21:16:09.365-05:002019-12-08T21:16:09.365-05:00This was helpful
Thank youThis was helpful<br /><br />Thank youBill DuBoishttps://www.blogger.com/profile/08684783029431108071noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-73736427086617258842019-12-08T21:11:11.914-05:002019-12-08T21:11:11.914-05:00This was helpful
thank youThis was helpful<br /><br />thank youBill DuBoishttps://www.blogger.com/profile/08684783029431108071noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-68351820039195567202019-12-08T16:41:19.165-05:002019-12-08T16:41:19.165-05:00I found this helpful.
Thank youI found this helpful.<br /><br />Thank youBill DuBoishttps://www.blogger.com/profile/08684783029431108071noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-54530187010168953972019-12-08T16:27:55.422-05:002019-12-08T16:27:55.422-05:00I found this very helpful
thank youI found this very helpful<br /><br />thank youBill DuBoishttps://www.blogger.com/profile/08684783029431108071noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-39447746810967546352018-01-03T05:45:05.369-05:002018-01-03T05:45:05.369-05:00I read your blog frequently and I just thought I’d...<br />I read your blog frequently and I just thought I’d say keep up the amazing work!<br /><a href="https://www.speciaali.fi/palvelut/" rel="nofollow">Speciaali</a>Roberthttps://www.blogger.com/profile/12114479635982380752noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-55008684419133481562017-03-02T14:12:54.475-05:002017-03-02T14:12:54.475-05:00The proposed rule to delay the compliance effectiv...The proposed rule to delay the compliance effective date can be found at: https://www.federalregister.gov/documents/2017/03/02/2017-04096/definition-of-the-term-fiduciary-conflict-of-interest-rule-retirement-investment-advice-bestAnonymousnoreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-74508541696987748022017-03-02T14:11:20.222-05:002017-03-02T14:11:20.222-05:00The analysis is meant to cover the likely impact o...The analysis is meant to cover the likely impact of the Rule, in particular whether:<br />1) The anticipated applicability of the Rule has harmed or is likely to harm investors due to a reduction of Americans' access to certain retirement savings offerings, retirement product structures, retirement savings information, or related financial advice;<br />2) The anticipated applicability of the final rule has resulted in dislocations or disruptions within the retirement services industry that may adversely affect investors or retirees; and<br />3) The final rule is likely to cause an increase in litigation, and an increase in the prices that investors and retirees must pay to gain access to retirement services.Anonymousnoreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-46627389566629289472017-03-02T14:08:09.555-05:002017-03-02T14:08:09.555-05:00On March 2, 2017, the DOL published a proposed rul...On March 2, 2017, the DOL published a proposed rule to delay the initial compliance effective date for 60 days (from April 10, 2017 to June 9, 2017). The reason for the delay is to give the DOL adequate time to prepare an updated economic and legal analysis of the Rule.Anonymousnoreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-33538087382757440772014-05-28T20:01:15.899-04:002014-05-28T20:01:15.899-04:00Can I get a copy?Can I get a copy?Anonymousnoreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-1926047043856711212014-04-28T23:22:23.370-04:002014-04-28T23:22:23.370-04:00great posting Brian.
Getting client feedback, why ...great posting Brian.<br />Getting client feedback, why you're hired is great ideaAnonymoushttps://www.blogger.com/profile/17252160154993373749noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-13154823794328169672014-04-28T23:21:40.551-04:002014-04-28T23:21:40.551-04:00great blog about getting client feedback and using...great blog about getting client feedback and using that as part of the strategic plan.<br />RobAnonymoushttps://www.blogger.com/profile/17252160154993373749noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-40862068525688300972013-11-16T01:02:12.666-05:002013-11-16T01:02:12.666-05:00Hi Susan,
It was an amazing post for Financial Blo...Hi Susan,<br />It was an amazing post for Financial Bloggers.<br />Give more information about "Fair Use".<br /><br />Thank You,<br />Finlaw.inAnonymoushttps://www.blogger.com/profile/15151446496789918873noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-36813904836069134172013-06-07T07:12:44.430-04:002013-06-07T07:12:44.430-04:00Fees and compensation represent the most likely so...Fees and compensation represent the most likely sources for conflicts of interest and it will remain a priority for regulatory scrutiny for <a href="http://www.revenue-performance.com" rel="nofollow">advisory firm</a>!!!Anonymousnoreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-9593845831492508382013-05-15T21:55:17.488-04:002013-05-15T21:55:17.488-04:00Brian, your blogs are filled with invaluable infor...Brian, your blogs are filled with invaluable information. Thank you!Anonymoushttps://www.blogger.com/profile/13405791873688503491noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-68378273571646543552012-10-24T18:30:47.245-04:002012-10-24T18:30:47.245-04:00Update:
If an Advisor is on the SEC list, they of...Update:<br /><br />If an Advisor is on the SEC list, they of course need to take immediate action. The SEC expects that an advisor that is on the list will make a prompt update to the ADV to either validate qualification or confirm they are no longer eligible. <br /><br />While the firm remains on this list, they must amend ADV1 and ADV2A to disclose the potential event that the firm may be subject to an order by the SEC to cancel the SEC registration of the adviser pursuant to Section 203(h) of the Investment Advisers Act of 1940. <br /><br />Item 11 of ADV1 must be answered Yes for the duration of the period where there is the potential for the firm to be issued such an Order from the SEC. <br /><br />Item 11.G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.? THIS MUST BE answered yes and Schedule D must be completed. <br /><br />As this is a confusing sequencing, we strongly suggesting seeking guidance before taking action.AdvisorAssisthttps://www.blogger.com/profile/10527997242834769520noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-54063357786685773232012-05-17T13:11:20.183-04:002012-05-17T13:11:20.183-04:00I'm interested in this area and especially in ...I'm interested in this area and especially in curation and SEO optimization. The trends you spotted are correct, in our experience. Michael Kitces covered some of this territory in his recent program on the future of financial planning at NAPFA, and at FPA Retreat (at least I think so, since his session descriptions were identical).Anonymoushttps://www.blogger.com/profile/17516146303297829357noreply@blogger.comtag:blogger.com,1999:blog-7670130944774258191.post-12284835597794551922012-02-07T01:29:54.914-05:002012-02-07T01:29:54.914-05:00Thanks for the write-up!Thanks for the write-up!Nicole Owlhttps://www.blogger.com/profile/16930305498377883457noreply@blogger.com