PUBLICATIONS

Simon has spoken for many years on modern prudent fiduciary investing:

  •  “Some Drafting Tips and Practical Advice Attorneys Can Use to Comply with the California Uniform Prudent Investor Act,” Marin County (CA) Bar Association (probate section; 1998)
  • “Index Mutual Funds: The Best Investment Strategy for Complying with the California Uniform Prudent Investor Act,” Glendale Estate Planning Council, Glendale, CA (1998)
  •  “The Investment Planning Process Envisioned by the Uniform Prudent Investor Act and Asset Class Investing with Index Mutual Funds,” Salt Lake Estate Planning Council, Salt Lake City, UT (1999)
  •  “The Prudent Investor Act, 401(k)s and You,” Dimensional Fund Advisors’ 2nd Annual 401(k) Conference, Santa Monica, CA (2003)
  • “The Uniform Prudent Investor Act and Indexing,” Eighth Annual Super Bowl of Indexing, Phoenix, AZ (2003)
  • “The Uniform Prudent Investor Act,” The 401(k) Fiduciary Forum, Sacramento, CA (2004)
  • “The Uniform Prudent Investor Act,” Stockton Estate Planning Council, Stockton, CA (2006)
  • “Modern Portfolio Theory and the Prudent 401(k) Investor,” ARUP, Salt Lake City, UT (2006)
  • “The Mushrooming Costs of Public Pension Plans and What You Can Do About It,” Governmental Research Association, Austin, TX (2006)
  • “The Prudent Investor Act, 401(k)s and You,” Buckingham Asset Management annual meeting, St. Louis, MO (2006)
  • “The Uniform Prudent Investor Act,” Southern Arizona Estate Planning Council, Tucson, AZ (2010)
  • “The Uniform Prudent Investor Act,” Midland Odessa Business and Estate Council, Midland, TX (2010)
  • “The Independent Fiduciary and Modern Prudent Fiduciary Investing,” Independent Fiduciary Symposium, Eagle, ID (2010)
  • “Passive Options in 401(k) Lineups,” Standard & Poor’s Indices, national webcast (panelist) (2011)
  • “Understanding a Smidgen of the DOL’s Definition of the Term  Fiduciary Conflict of Interest Rule – Retirement Investment Advice,” Southern Arizona Estate Planning Council, Tucson, AZ (2016)
  • Prepared remarks for the North Valley Estate Planning Council, Chico, CA (2017)
  • “The Dangers of Ignoring Uncompensated Risk,” AICPA, national webcast (panelist) (2019)

Index Mutual Funds: Profiting from an Investment Revolution (1998)

  • A comprehensive guide to the many benefits and appropriate uses of passive investing
  • Foreword by John C. Bogle, founder of the Vanguard Group
  • Dust jacket testimonial from Rex Sinquefield, co-founder of Dimensional Fund Advisors
  • Among the first books to extol the virtues of passive investment strategies, foretelling over twenty years ago the prodigious rise of index mutual funds

The Prudent Investor Act: A Guide to Understanding (2002)​​​

  • An interpretive work on the Uniform Prudent Investor Act and the Restatement (Third) of Trusts which together comprise modern prudent fiduciary investing
  • Dust jacket testimonials from John C. Bogle, Harry M. Markowitz (Nobel laureate in Economics and the father of Modern Portfolio Theory), Edward C. Halbach, Jr. (Reporter for the Restatement (Third) of Trusts) and Fred Reish (nationally prominent ERISA attorney)

In addition to over 175 articles on fiduciary investment issues that he has written since 2003 for his Morningstar column, Simon is the author of the following published articles:

  • “Index Mutual Funds: The Best Investment Strategy for Complying with the California Uniform Prudent Investor Act,” CEB Estate Planning and California Probate Reporter (June 1998) (a publication co-sponsored by the State Bar of California and the University of California) which describes the nexus between index mutual funds and modern prudent fiduciary investing
  • “In Indexing We Trust: Passive Investing Appears to be the Standard for Investing and Managing Trust Portfolios,” an excerpt from the book, The Prudent Investor Act: A Guide to Understanding, reprinted in the August/September 2004 issue of the Journal of Indexes
  • “Managing Risk vs. Picking Investment Winners” in the Oklahoma Society of CPAs Biweekly e-Newsletter, Issue 20, September 2004
  •  “A Step Beyond ERISA Section 404(c): Improving on the ParticipantDirected 401(k) Investment Model,” co-authored in the Journal of Pension Benefits (Summer 2005) which, in proposing an alternative to the  participant-directed 401(k) plan, helps meet two important objectives at once – enhancing the retirement income security of plan participants and reducing the fiduciary responsibility and liability of plan sponsors
  • “Illuminating the ‘Broad Range’ Requirement of ERISA Section 404(c) with the Language of Modern Portfolio Theory Found in the Uniform Prudent Investor Act and the Restatement 3rd of Trusts (Prudent Investor Rule),” Journal of Pension Benefits (Autumn 2005)
  • “The Fiduciary Duties of a Registered Investment Advisor” in Observations, ComplianceMAX Monthly Advisers Newsletter, May 2006