Wealth Management Services

Wealth Management Resource Library

 DocumentAudience
DOL Fiduciary Rule Update 2017
Features updates on the current state of the DOL Fiduciary Rule and impact of a Trump presidency. Some background on the Rule is discussed along with some potential outcomes such as repeal or delayed implementation as well as outlining how impacted financial services firms are preparing for the Rule.
Investor
Investment Policy Example for Retirement Plans
This example illustrates the goals and investment objectives of a hypothetical 401K Savings Plan
Investor
Investment Policy Statement Example for Foundation or Endowment
This example includes provisions which could be included in an Investment Policy Statement for a Foundation or Endowment.
Investor
Investment Policy Statement Example for Individual or Family
This supplement provides an example of provisions which could be included in an Investment Policy Statement for a high net worth individual or family.
Investor
Structuring an Investment Policy Statement
This white paper covers the key elements to consider when writing an investment policy statement (IPS) and how to evaluate a policy statement once it is written.
Investor
Fiduciary Best Practices: Sample Appointment and Acceptance Letters
This supplement provides a hypothetical example of an appointment letter to and acceptance letter from an individual appointed to serve on an investment committee.
Investor
The Manager Search, Selection and Evaluation Process
This paper addresses important considerations in the manager selection and evaluation process, including qualitative and quantitative factors, and identifies circumstances where changing existing managers may or may not be appropriate. Ten key questions that advisors may consider when selecting and evaluating managers is also included. These questions provide a more comprehensive and balanced portrait of asset managers and can be a positive addition to the advisor’s toolkit.
Advisor
Fiduciary Best Practices: Sample Investment Committee Meeting Minutes
A supplemental piece outlining the meeting minutes for a hypothetical investment committee meeting.
Investor
Fiduciary Best Practices: Sample Investment Committee By-Laws
This supplementary piece outlines sample by-laws of a hypothetical investment committee.
Investor
Essential Performance Metrics to Evaluate and Interpret Investment Returns
This guide identifies and explains popular performance metrics and utilizes a hypothetical case study to illustrate how they can help evaluate investment managers.
Investor
Department of Labor Fiduciary Rule Briefing Paper
The Department of Labor (DOL) recently proposed changes to the ERISA fiduciary rule. This paper summarizes the background of the proposed rule, key provisions and next steps.
Investor
The Yale University Endowment: A Peek Under the Tent
This paper is an in-depth study of the Yale Endowment. It examines factors that have contributed to the Endowment's success and explores key aspects of its approach that might be instructive for a financial advisor’s practice.
Investor
Formula Sheet
This sheet includes many of the important formulas used in the CIMA Coursework.
Advisor
Sample Questions
This document provides the sample questions provided to participants in the workshop.
Advisor
Sample Questions Answer Guide
This document provides the answers to the sample questions which are in the last section of the workbook provided to participants in the workshop.
Advisor

"Investment Education" content on Nuveen Investments Wealth Management Services’ website contains informational and educational materials relating to financial matters. Such materials are not intended to constitute an offer, solicitation, recommendation or advice regarding any securities, funds or investment strategy. This site may contain general tax information. Nuveen is not a tax advisor. Please note that this information should not replace a client’s consultation with a professional advisor regarding their tax situation. Materials are current as of the date indicated on each piece, and such materials may become outdated or otherwise superseded at any time without notice to you.

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