7 signs clients look for in trusted advisers

don3ethos   •   Blog, carousel-post, Leadership   •   June 12, 2015

Survey after survey have revealed that the vast majority of investors do not know the difference between fiduciary and suitability standards — nor do they care. What they care about is whether or not they can trust their financial adviser. So important is trust, it has become the new currency of Wall Street. So what are the 7 signs clients want to see before you become their trusted adviser? Link to article

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7 signs an adviser measures up to a professional standard of care

don3ethos   •   Blog, carousel-post, Leadership   •   May 04, 2015

Thirty years ago, the fiduciary movement began to take root. No one held a press conference, it just happened. That’s the thing about movements: you really don’t have a sense that one has started until enough time has passed that you can look back and see what material changes have taken place. In hindsight, we can see that the pioneers of the fiduciary movement had two similar, overlapping objectives: (1) to define the details and best practices of a fiduciary’s prudent investment process; and (2) to define the details and best practices of a professional standard of care. Link to article

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7 Signs You’ve Lost Your Nerve

don3ethos   •   Blog, carousel-post, Leadership   •   April 21, 2015

A requisite for leadership is courage — you can’t lead without it. Good character, competence, a sense of purpose and being passionate about what you believe is right are all critical, but they aren’t enough. Here are seven signs to help you determine whether you have lost your nerve. Link to article

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7 Signs You Don’t Have a Code of Ethics

don3ethos   •   Blog, carousel-post, Leadership   •   April 06, 2015

If you’re an RIA or IAR, you are required by the SEC (federal and most states) to have a code of ethics. If you are using the sample language provided by the SEC, then you don’t have a code of ethics — you have a code of conduct. A code of ethics is principles-based; a code of conduct is rules-based. Want to know an easy way to remember the difference? Congress has a code of conduct, not a code of ethics. A code of conduct, which is rules-based, is easier to work around than a code of ethics. So, what are the seven signs that you don’t have a code […]

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7 Signs Your Best-Laid Plans Are About to Go Bust

don3ethos   •   Blog, carousel-post, Leadership   •   March 30, 2015

Planning is a critical aspect of any undertaking, whether it be business, personal or financial. A process, either formal or not, is almost always essential. Key steps usually include Analyze, Strategize, Formalize, Implement and Monitor. With all that, what could possibly go wrong? So, what are the 7 signs your best-laid plans are about to go bust? Link to article

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