Guest Columnist Abby Salameh

Interesting.  Do doctors fire patients who don't follow the doctor's advice?

Why an RIA's willingness to get fired by clients is a mandatory mindset -- now especially under the DOL rule

Abby Salameh

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Yet the advisor may still be to blame for their own 'principled' dismissal before making a real effort to get at the underpinnings of a client's thinking

Why an RIA's willingness to get fired by clients is a mandatory mindset -- now especially under the DOL rule

Jim Lorenzen, CFP, AIF

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