Description
There is a common sentiment in the financial services industry that your financial advisor must be a fiduciary. In this thesis, I explore whether that is truly the case. I present the two main groups of financial advisors: broker-dealers and registered investment advisors (RIAs). I compare the two groups by examining 4 key comparisons: regulation, standards of care, compensation, and investment behavior. At the end, I share my personal opinions regarding where I believe investors should seek their financial services.
Details
Title
- Fiduciaries are Fishy: An Exploration of the Fiduciary Advisor Myth
Contributors
- Baltman, Bradley (Author)
- Licon, Wendell (Thesis director)
- Arrfelt, Mathias (Committee member)
- Barrett, The Honors College (Contributor)
- Department of Finance (Contributor)
Date Created
The date the item was original created (prior to any relationship with the ASU Digital Repositories.)
2023-12
Subjects
Resource Type
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