The financial advice industry has long been separated between 1) Registered Investment Advisor firms (RIAs), which operate under the Investment Advisers Act of 1940 and
Is it a coincidence that seemingly every prospective client’s taxable account currently managed by a brokerage firm includes the same two security types; expensive actively-managed
Our prior blog post, “The Prediction Paradox”, outlined why investing the Wall Street way, by placing bets based on predictions, was a recipe for financial
In the summary description of the book The Signal and the Noise: Why So Many Predictions Fail – But Some Don’t, written by political forecaster,
Many investors continue to believe they can feel secure that their finances are managed by a “brand name” firm such as J.P. Morgan. Underlying this
Among the myriad of conflicts of interest shrouded by the brokerage industry are payments made by mutual fund companies to brokerage firms in exchange for
Ian A. Post, CFA, CFP®
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