Advisers, Planners, Experts, Scholars Assess the State of Fiduciary in 2023

Phyllis Borzi, Clark Blackman, Sheryl Garrett among the Speakers: September 13 event features clients speaking out

Panels on September 5, 6, 13, 18, 19, 20, 21, 27 and October 17

Announcements

• Fiduciary September 2023 Program Announcement
• 2023 Frankel Prize Honoree Announcement
• Fiduciary September Panel: NAPFA Veterans Discuss ‘The Birth of Fee-only Planning in NAPFA’s early Years’ Event Announcement

Program Videos

• Sept 13 Panel Video – “The Advice Only Compensation Model: Consumer Experiences with Fixed, Flat or Hourly Fees for Advice”
• Sept 18 Panel Video – “Massachusetts highest court ruling against Robinhood and for state’s fiduciary rule shocked the investment world. What’s it mean for investors, in MA, elsewhere?”
• Sept 19 Panel Video – “The DOL Fiduciary / Conflict of Interest Rule Expected to Come”
• Sept 20 Panel Video – “Financial Advice: Too Much Sales? Too Much Fiduciary?”
• Sept 21 Panel Video – “The Fee-only compensation debate continues”
• Sept 27 Panel Video – “SEC Proposal on ‘Conflicts from Predictive Data Analytics’”

Media Coverage and Related Content

• Massachusetts Scores a Victory for Fiduciary Advice, Knut Rostad, AdvisorPerspectives
• “Next DOL fiduciary proposal under attack prior to release”, Mark Schoeff Jr., InvestmentNews
• “Fiduciary institute ads take stance against broker dealers”, Doug Bailey, InsuranceNewsNet
• “FPA launches program to attract members from Ameriprise”, Mark Schoeff Jr., InvestmentNews
• “DOL Wants Fiduciary Rule to Level Playing Field Across Industries, Secretary Says”, Tracey Longo, FinancialAdvisor
• “Get Back to Your Fiduciary Roots, Advisors Urged”, Ed Price, Rethinking65

Fiduciary September 2023 Speaker List

Jeff Benjamin, Wealth Management Editor, eft.com

Clark Blackman, Alpha Wealth Strategies

Phyllis Borzi, Assistant Secretary, EBSA, Department of Labor, 2009-2017

Rich Chen, Richard L. Chen LLC

Benjamin Edwards, Professor of Law, Las Vegas Boyd School of Law

Harold Evensky, Evensky & Katz / Foldes                                                                                             

Darren Fogarty, Institute for the Fiduciary Standard

Sheryl Garrett, Garrett Planning Network

Gary Greenbaum, Retired fee-only advisor

Cheryl R. Holland, Abacus Planning Group 

James Lee, Lee Investment Management

Mary Malgoire, Founder, The Family Firm, NAPFA Founder / Chair 1985, Retired 2018

Bob Maloney, Squam Lakes Financial Advisors

Scott MacKillop, First Ascent Asset Management  

Kate McBride, FiduciaryPath         

Carolyn McClanahan, Life Planning Partners

Bill Prewitt, Charleston Financial Advisors                                                         

Ron A. Rhoades, Associate Professor of Finance, Western Kentucky University

Knut Rostad, Institute for the Fiduciary Standard

James Tierney, Assistant Professor, Chicago-Kent College of Law

Chris Tobe, Racial Justice Impact Fund

Brian Thorp, Wealthtender

Bob Veres, Inside Information

About the Institute for the Fiduciary Standard

The Institute for the Fiduciary Standard is a not for profit formed in 2011 to provide research,
education and advocacy to consumers, policy makers and advisors on fiduciary principles and
practices. Fiduciary September is the largest annual conversation on the importance of fiduciary
advice. The Real Fiduciary™ Practices are written in plain language and set out what we believe
the most conscientious advisors and planners do. Visit www.thefiduciaryinstitute.org