By Kelly Fraser – Senior Wealth Management Advisor Over the last 2-3 decades, the investor experience has been almost completely reshaped. As pensions have become a rarity, access to investment markets have become dramatically democratized. Investors are now far more responsible for meeting their retirement goals and have become increasingly aware of the need for...

The Securities and Exchange Commission adopted Regulation Best Interest on June 5, 2019. The regulation addresses the standard of conduct for broker-dealers and is designed to up the litmus test on the types of recommendations broker-dealers can make to their retail clients beyond existing suitability obligations. It falls short of subjecting broker-dealers to the highest...

Identify which type of money manager is driving the investment advice you receive, and whether it’s the best fit for you. What type of money manager are you working with? If you are not sure, you are not alone. It can be tough to tell. Money managers can be broken into two broad categories: Registered...