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By Christopher Carosa, CTFA | February 4, 2013
Borzi’s rise, crying brokers & the coming Fiduciary battle
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Posted in Trending Topics | Tagged 12b-1, 401k, 401k loan, ASPPA, Borzi, commission, DOL, ERISA, ESOP, fee, Fiduciary Standard, FSI, Gen X, Gen Y, IOSCO Report, IRA, MEP, Morningstar, pension, retirement, ROTH 401k, SEC, SRO
By Christopher Carosa, CTFA | January 29, 2013
If you thought Shrödinger’s cat had it tough, wait to read this.
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Posted in Due Diligence | Tagged Amy C. Arnott, Aron Gottesman, Christine Benz, DALBAR No-Action Letter, Don Phillips, Edwin Choi, Matthew Morey, Morningstar, Star Ratings
By Christopher Carosa, CTFA | January 15, 2013
For retirement and retail investors alike, has Morningstar and its kin passed their collective “use by” date?
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Posted in Due Diligence | Tagged 401k, Churchill, David Nanigian, democracy, Elle Kaplan, Joshua Ziering, Lipper, Michael Prus, Morningstar, Multi Cap, retirement, Rich Winer, Robert Massa, Style Box, Tim Dyer, Timothy Yee, Todd Tresidder
By Christopher Carosa, CTFA | December 4, 2012
Do the answers 401k investors seek lie in its past?
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Posted in Due Diligence | Tagged 2006 Pension Protection Act, 401k, Jason Zweig, Lipper, Managed Portfolio, Modern Portfolio Theory, Morningstar, mutual fund, One Portfolio, pension, profit sharing, Scott Holsopple, Style Box, Timothy G. Parker
By Christopher Carosa, CTFA | October 9, 2012
This may rock the world of the unsuspecting. Fasten your seatbelts before proceeding.
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Posted in Due Diligence | Tagged active, DOL, expense ratio, fiduciary, investment, Laura Lutton, Morningstar, mutual fund, passive, SEC
By Christopher Carosa, CTFA | October 27, 2011
Some practical advice to 401k investors that relies on real world results rather than just on academic studies.
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Posted in Due Diligence | Tagged 401k, 4th Deadly Sin, 7 Deadly Sins, diversification, invest, Morningstar, Optimal Holdings, Overdiversification, Warren Buffett
By Christopher Carosa, CTFA | September 26, 2011
Will this be known as the week we lost the fiduciary standard?
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Posted in Trending Topics | Tagged 401k, BrightScope, disclosure, DOL, fiduciary, Fiduciary Rule, Fiduciary Standard, Morningstar, Phyllis Borzi
By Christopher Carosa, CTFA | January 12, 2010
With the decline of Modern Portfolio Theory as the default operative model, sophisticated investors seek the Holy Grail – the theoretical basis for determining when active will beat passive and when passive will be active. Has it now been found?
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Posted in Due Diligence | Tagged active, behavioral economics, behavioral finance, Efficiency Hypothesis, Fiduciary News, FiduciaryNews, Index, Index Funds, indexing, Journal of Investing, Lipper, Lost Decade, Modern Portfolio Theory, Morningstar, passive, passive-active, Purity Hypothesis, Snapshot-In-Time Anomaly, Thatcher, The Journal of Investing, Willaim R. Thatcher
By Christopher Carosa, CTFA | November 30, 2009
Want to know when Active Beats Passive? A Journal of Investing study may just have the answer.
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Posted in Due Diligence | Tagged active, Bernstein, Bogle, Carhart, Efficiency Hypothesis, ERISA passive-active hybrid, Hammond Associates, Index, Index Funds, indexing, JFP, Journal of Financial Planning, Large Cap, Lipper, Mid Cap, Modern Portfolio Theory, Morningstar, MPT, MSCI, Multi Cap, MultiCap, Mutual Fund Survivorship, passive, passive-active, Purity Hypothesis, Review of Financial Studies, Russell, S&P, Small Cap, Snapshot-In-Time Anomaly, Standard & Poor's, Thatcher, The Emperor Exposed, When Indexing Fails, Willam Bernstein, William R. Thatcher
By Christopher Carosa, CTFA | September 4, 2009
The Supreme Court will raise the visibility of the fee structure within the investments of nearly half of all 401k plan assets. Just because the powers that be say it’s so, doesn’t necessary mean your average fiduciary can rely on the decree. Indeed, the Supreme Court of the United States appears poised rule in favor of mutual fund shareholders, yet, at the same time, mislead both 401k investors and fiduciaries.
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Posted in Fees | Tagged 12b-1 fees, 401k, consultant, DOL, ERISA, Fees, Frank Easterbrook, Gartenberg, ICI, investment performance, Jones v. Harris, liability, litigation, Morningstar, mutual funds, Oakmark Funds, participants, recordkeeping, Seventh Circuit, Supreme Court, The New York Times, The Wall Street Journal
FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 2/1/13
By Christopher Carosa, CTFA | February 4, 2013
Borzi’s rise, crying brokers & the coming Fiduciary battle
Read the full story...Posted in Trending Topics | Tagged 12b-1, 401k, 401k loan, ASPPA, Borzi, commission, DOL, ERISA, ESOP, fee, Fiduciary Standard, FSI, Gen X, Gen Y, IOSCO Report, IRA, MEP, Morningstar, pension, retirement, ROTH 401k, SEC, SRO | Leave a response