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The Institute for the Fiduciary Standard

A resource site for investors, brokers, academics and the media.


Building a fiduciary culture of honesty, integrity, and expertise.

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Advisor News

What to Know About Fee-Only Financial Advising

By The Institute on December 15, 2021

Katie Oelker, a personal finance writer at Business Insider, explains fee-only financial advising.

RIA Leaders 2021: What’s wrong with RIA rankings

By The Institute on September 27, 2021

Knut joins members of the RIA community in pointing out the confusion in RIA rankings and which firms are fee-only and/or fiduciaries.

Say Goodbye to the 1% Investment-Adviser Fee?

By The Institute on August 9, 2021

Innovative fee models are challenging the 1% assets-under-management fee that has traditionally dominated the investment advisory world.

All’s Quiet on the Reg BI Front

By The Institute on July 14, 2021

Investment News Logo

The SEC has been intense about ESG and wait-and-see on Reg BI. But investor advocates are optimistic about the “most investor-centric commission in 20 years.”

Crown Capital Ordered to Pay $1.6M to Settle SEC Disclosure Case

By The Institute on July 2, 2021

A broker-dealer has been fined by the SEC after allegedly failing to disclose its conflicts of interests.

Investor Advocates Call for Revamped Form CRS

By The Institute on June 23, 2021

Investor protection advocates want the Securities and Exchange Commission to revisit and revise its Form CRS.

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Dan Moisand

 

Dan Moisand is a nationally recognized fiduciary fee-only financial planner, an Institute Real Fiduciary™ Advisor and Chair-elect of the CFP Board.

The Institute has enshrined the ‘Moisand Rule’ on fiduciary practices. It is basic and is more important today than ever: “You have to avoid conflicts. If I avoid a conflict, I don’t worry about it.”

Watch the video of Moisand speaking here.

Bob Veres

 

Bob Veres is a long term observer of financial planning. His Newsletter, “Inside information” Is a staple of leading planners. In the May edition he writes about fiduciary and the Institute.

"But a much bigger point is that the fiduciary standard—as Knut Rostad of the Institute for the Fiduciary Standard has pointed out—has been determined by the Supreme Court (1963 ruling) to be at the very heart of the Investment Advisers Act of 1940. It is the foundation of what it means to be an RIA registered with the SEC instead of a tipster or a tout."

- Bob Veres, Parting Thoughts ... The SEC's Own Compliance Culture

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