Holistic Advice and Best Interest

Holistic Advice and Best Interest:
A continuation of the virtual study group on developing holistic advisors

Thursday, September 10, 2020
3:30–5:00 p.m. Eastern

Reg BI requires advisors to demonstrate that the advice they provide is in the client’s best interest. This principle is core to the holistic advice model but how does the advisor transitioning to holistic advice navigate the choppy waters of investment product innovation, and document that the investments selected with the client align with the client’s objectives and the advice provided.  Can technology make this easier for the advisor? 

This segment of the ongoing virtual conversation on developing holistic advisors explores:

  • Assessing the client’s risk profile
  • Documenting the basis for product selection within that allocation
  • Evaluating rollover opportunities in a Reg BI environment
  • Capital market assumptions
  • Compliance review of plans
  • CFPs and Reg BI

Given the continuing concerns about travel, and the awkwardness of convening a roundtable discussion while maintaining social distancing, we are reimagining our Holistic Advisor Study Group as a series of virtual meetings over the next several weeks.


This complimentary study group would not be possible without the support of our sponsors. We acknowledge these organizations for their thought leadership and support.

Produced by:

Take a look at the other Holistic Advisor virtual study groups:

The Path to Planning
a virtual study group on developing holistic advisors
Wednesday, July 22, 2020
Engaging and Developing Holistic Advisors
a continuation of the Holistic Advisor virtual study group 
Thursday, August 20, 2020
The State of Financial Planning in Financial Institutions
a continuation of the virtual study group on developing holistic advisors
Tuesday, Septemeber 22, 2020
Introducing PlanningInsights™ Peer Perspective
an annual benchmarking service to elevate your business through better planning
Thursday, October 22, 2020