asset analysis

Review investment portfolios, applying fiduciary standards and Reg BI rules in various case situations.

Special focus on private equity, closely held assets, business interests, and real estate.

Analyze and explain the roles of discretion, active, and passive management approaches in wealth management.

Distinguish between broker dealers, investment advisors, and professional/corporate trustees.

Commentary on how the prudent investor standard applies through fiduciary rule or Reg BI and the responsibilities of individuals, spouses, agents, and trustees.

Impact of hybrid investment companies that are both a Broker Dealer and an RIA. How Reg BI and Fiduciary RIA standards impact the actions of the adviser and client recommendations.