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Prove you’re in it
for investors.


Best-Interest Advice for Your Clients


You’ve been looking out for your clients’ best interest all along. Even if financial regulations, like the Department of Labor’s fiduciary rule, are currently in flux, the trends driving best-interest advice are here to stay. We’ve been putting investors first since day one – we can help.


The DOL is delaying the fiduciary rule deadline to June 9. Find out how this will impact your practice.

Download Our Takeaways


Choose best-interest

investments only.

Prune your lineup to keep potential conflicts out of client portfolios.

Be ready to explain why.

Adapt proposals to show investors the thought process behind your decisions and how every investment is part of a long-term plan.

Guide investors through
industry shifts.

Make sure your clients understand regulatory changes and the underlying context of emerging trends.

Reduce your risk
by eliminating conflicts.

Point small plan sponsors toward an independent fiduciary service to manage fund lineup design and help choose a record keeper for their retirement accounts.



Trends We See Accelerating


Three industry shifts that are good for investors.


Accounts becoming fee-based


The desire for transparency in advisory fees will accelerate the movement from commission-based to more fee-based accounts.


Popularity of low-cost investments


High fees will impact the effectiveness of some investments, paving the way for low-cost providers and exchange-traded funds.


Adoption of online advice


Advisors looking for new ways to collaborate with clients are adopting digital service models and tools to reach a new generation of investors.


Your Role in the Rule


Regardless of whether the DOL’s fiduciary rule goes into effect in 2017 as planned, the industry is changing. Use our checklist to take steps that could help your firm adapt to industry trends.


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Need Help Complying with the DOL Fiduciary Rule?

Whether you need help selecting investments, adapting proposals, or explaining regulatory changes, we are ready to help you comply with the new rule. We’ll help you get ready.


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