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, Inc. is the financial community’s leading independent expert for evaluating, auditing and rating business practices, customer performance, product quality and service. Launched in 1976, has earned the recognition for consistent and unbiased evaluations of Investment companies, registered investment advisers, insurance companies, broker/dealers, retirement plan providers and financial professionals.
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What's New
8/16 The current bull market may go down in history as the longest. Since March 2009, the Dow Jones Industrial Average has already risen 286%, the S&P 500 advanced 320% and the Nasdaq has soared 521%. Huge contributors of the bull run are the FAANG stocks (Facebook, Apple, Amazon, Netflix, Google)…time will tell how much fuel is left in the tank for this bull run. -by Anita Lo
8/15 We are excited to announce that the submission window is now open to be included in this year’s Trends & Best Practices in Investor Statements report and ranking! Statements and client reporting submissions will be accepted through September 30th. The report will be published in January 2019. Please reach out to bhalloran@dalbar.com with any questions. - by Brooke Halloran
8/13 The SEC's proposed Regulation Best Interest seeks to impose a duty on brokers to mitigate certain conflicts of interest. This series of articles will explore the various ways firms can effectively mitigate or eliminate conflicts of interest. - by Cory Clark
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News & Stories
To the Fiduciaries Go the Spoils
The word fiduciary has caused heartburn for most advisors. It is not the promise to act in clients’ best interest that scares most advisors; it is the task of proving that this was actually done that causes the pain. How is it possible to show that the motivation behind a recommendation is the client’s interest and not the compensation the advisor earns?
ThinkAdvisor | 7/13/2018
Complacency Is Weakest Cybersecurity Link: Dalbar/ThinkAdvisor Study
Despite the increasing fear Americans have of personal and financial information being stolen, most financial-services firms have been complacent on updating or implementing state of the art — or even basic — cybersecurity technology, according to a recent study by Dalbar/ThinkAdvisor entitled “The State of Authentication in Financial Services.”
ThinkAdvisor | 4/4/2018
How Scottrade Could Have Avoided DOL Rule Charges
Scottrade made a bet that the Labor Department's fiduciary rule wouldn't be enforced. It lost. But, for now, there's another way firms can keep their sales incentives.
ThinkAdvisor | 2/23/2018
Are Advisors’ Cyberdefenses Strong Enough? Dalbar-ThinkAdvisor Survey Seeks Answers
...“Authentication is now the primary defense, since the felons have already stolen the data,” said Lou Harvey, CEO of Dalbar, an independent financial-services market research firm, in an interview with ThinkAdvisor....
ThinkAdvisor | 1/19/2018
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Latest News
- Best Interest Contract ExemptionUpdated: October 16th
- Department of Labor Fiduciary Rule Updated: February 9th
- Bits & Pieces: Tips and Ideas About the Fiduciary Rule Updated: November 9th
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