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WelcomeDALBAR, Inc. is the financial community’s leading independent expert for evaluating, auditingand rating business practices, customer performance, product quality and service. -
2021 QAIB Report is Now Available!This 27th edition shows how investors reacted to market crisis in an unprecedented fashion,revealing the vital lessons for investor behavior during a time of crisis. -
e-Delivery Onboarding StudyThe e-Delivery Onboarding Study looks at the digital experience of consenting to paperless delivery and includesdata that will assist in identifying where a firm stands with respect to the digital e-Delivery experience. -
DoL's Rollover Reg Compliancewith i-LearnERISAThis online learning platform developed for financial professionals, complies with the regulations set by the SEC. -
Customer Experience AuditDeliver a Superior Standard of Care in the “Age of the Customer” through DALBAR’s CXA program.
at a Glance
, 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.
awards are recognized as marks of a superior standard of care in the financial community.
What's New
4/20 Article from FA Magazine discusses DOL's Q&A on recent fiduciary rule regarding rollovers, "DOL Eyes Nuclear Option, Revisits Advisor Rollover Exemptions." - by Jamie Josephs
4/14 Regulatory Update: The DoL released two documents, giving clarification to the new fiduciary rule PTE 2020-02. 1. FAQ 2. Choosing the Right Person to Give You Investment Advice - by Jamie Josephs
4/14 DALBAR Polls: Vaccine Attitudes - Check out the results of this online survey of 3, 103 North Americans. - by Anita Lo
4/1 QAIB 2021 Now Available: Investors Reacted to Market Crisis in Unprecedented Fashion - by Cory Clark
3/25 Congrats to AIG Life & Retirement and Nationwide! Our Customer Experience Excellence Award is the highest honor, recognizing companies who are able to consistently provide a best-in-class experience across channels. - by Brendan Yeager
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News & Stories
DOL Eyes Nuclear Option, Revisits Advisor Rollover Exemptions
The U.S. Department of Labor has indicated it will likely revisit its stance on advisors' fiduciary obligations when they make rollover investment recommendations.
In fact, the DOL is indicating the prohibited transaction exemption called ''Improving Investment Advice for Workers & Retirees,'' or PTE 2020-02, which was approved in February, may be a placeholder while the agency re-examines rollover advice, according to an analysis from Dalbar Inc. The five-part exemption is designed to allow fiduciary advisors to accept commissions and other compensation normally prohibited to them without triggering ERISA violations.
FA Magazine | 4/19/2021
Il gap con il ''robo'' si assottiglia
Le conseguenze della pandemia da Covid19 hanno impattato anche il rapporto tra cliente e consulente finanziario? E come hanno reagito gli investitori alle indicazioni del loro advisor, ''robo'' o ''tradizionale'' (cioè umano)? Domande cui ha provato a rispondere una survey di Dalbar, una delle principali società statunitense di ricerche di mercato sui servizi finanziari. La ricerca ha riguardato circa un migliaio di investitori statunitensi così ripartiti: 500 con un consulente finanziario tradizionale e 495 con un robo advisor.
Advisor Magazine | 3/1/2021
DALBAR Offers Free IRA Rollover Classes For Navigating New DOL Rule
Dalbar and the Retirement Learning Center (RLC) have combined forces to offer advisors two free virtual courses to help them comply with the Department of Labor's ''radical changes in compliance procedures'' for retirement rollovers, which go into effect February 23.
The complimentary courses are being offered concurrently with the go-live date of the DOL's ''Improving Investment Advice for Workers and Retirees Prohibited Transaction Exemption rule (PTE 2020-02)'', which defines a rollover recommendation as a fiduciary act requiring an exemption.
FA Magazine | 2/18/2021
4 Common Mistakes That Could Derail Your Retirement —and How to Avoid Them
This might be the most common mistake investors make—and unlike speculating on individual stocks or sitting on too much cash, it's a mistake that is a little harder to pin down.
When the market was at its most volatile earlier this year, ''investors did not run for the hills but they were making changes to their accounts,'' says Cory Clark, chief marketing officer of Dalbar, which found that nearly a third of investors working with traditional or robo-advisors reallocated their assets during the Covid market crisis.
Barron's | 12/11/2020
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Latest News
Investors Reacted to Market Crisis in Unprecedented Fashion
Updated: April 1DALBAR Recognizes AIG & Nationwide for Customer Experience Excellence
Updated: March 25DALBAR Identifies The Top Account Statements
Updated: March 17
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