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explanation of the costs of the investments and any additional fees you'll be charged.

       A clear and comprehensive description of the fund's investment strategy and policies.

       A record of the past performance of fund and the background on the managers responsible for producing it.

       An explanation of how the performance of your own investments will be reported to you.

      These are the questions that any sophisticated investor will ask before hiring an investment firm for a mutual fund, pension fund, endowment, or foundation. They're the questions we always asked at Vanguard before appointing an investment advisor to one of our funds. Whether you're looking for a mutual fund company, a brokerage firm, a robo-advisor, or a financial planner, these questions are as relevant for you as they are for a sizable company like Vanguard.

      Once you've selected a trustworthy provider, stay alert for changes in the ownership or leadership of the firm. Rapid turnover of portfolio managers should also trigger some concern. Regulatory actions and security breaches are another red flag.

      An important gauge of any company is communications. How frequent? Are they clear and candid? Are they consistent in good markets and bad? Are they selling or telling? Or, better yet, are they contrarian, giving you a dose of reality in times of market ebullience and perspective in seemingly dire days? If you ever have doubts about whether your company is being forthright with you, it's time to switch. Firms deserve to have your money only as long as they deserve your trust.

      There's a story about a man who prayed night after night, “Dear God, let me win the lottery.” But the man despaired every evening when the winning numbers were announced, and he was not a winner. This went on for many months until one night, as the man was praying for the hundredth time, the heavens opened up and a deep voice boomed: “Meet me halfway. Buy a ticket.”

      Trust should give you the courage to take the plunge, secure in the knowledge that you are investing with intelligence and discipline.

      In a Nutshell

      Your success as an investor is dependent on knowing whom to trust (and whom not to trust):

       Trust yourself to make sound decisions. Don't trust hot tips and sales pitches.

       Trust the financial markets to be your partner in accumulating wealth. Despite the short-term ups and downs of the stock market, the strength and resilience of the U.S. economy suggest that long-term investors will continue to be rewarded.

       Trust in time. Start early and put the power of compounding to work for you.

       Trust a financial provider. Find a trustworthy provider that will serve you with integrity and help you accomplish your financial goals.

      Legendary baseball catcher Yogi Berra once said, “You got to be very careful if you don't know where you're going, because you might not get there.” Although Yogi wasn't likely talking about investing, the quote hits the mitt right on target. Having a plan will help make your financial life less burdensome and more gratifying.

      Developing a financial plan need not be complex. It entails looking ahead and assessing where and when your needs for money will occur. Then you decide how you're going to meet those needs. It's essentially a three-step process:

      1 Determine how much money you'll need for your goal(s).

      2 Determine the mix of investments that should provide you with that targeted amount.

      3 Determine how much you need to set aside in order to reach your goals.

      In this chapter, I'll share some financial planning tips based on lessons I learned from my own experience and from the thousands of successful investors I've talked to over the years, including the concept of thinking of yourself as a financial entrepreneur.

      As I noted in Chapter 1, when people ask me how to go about setting up a financial plan, I usually offer them four words of advice: “Live below your means.” Simply put, to live below your means, you must not spend more money than you earn.

      Living below your means is the ultimate financial strategy. Actually, it's more—it's a way of life. If you want to be able to invest and accumulate wealth to help yourself or others in the future, you simply cannot spend more than you earn. Living beneath your means and becoming a saver are so critical to your financial success that I'll talk about it here and again in the next chapter. And I'll discuss some tools and techniques to help you do it.

      Effective saving isn't just tucking away as much money as you possibly can. It's also knowing where to put your money so that it will earn a reasonable rate of return and be there when you need it.

      A friend whose firm is one of Vanguard's large corporate clients frames the concept as follows: “When I'm talking to our employees about the importance of saving and investing, I urge them to think of themselves as ‘personal financial entrepreneurs.' We're all financial entrepreneurs, running our own financial operations, first in our working years and later in retirement.”

      When examining your income statement, if there is money left over after expenses are subtracted from revenues, you'll have a net profit that is available to invest. If you have no net profit, and in fact are borrowing to maintain your lifestyle, you are operating at a loss.

      Living below your means is tough in a materialistic culture in which advertisements constantly play to our egos and the media provides endless images of “the good life.” But the unsung benefits of being a saver are priceless. You'll have enviable peace of mind because you won't have to worry about making ends meet. You won't feel wistful about your goals because you'll know you're traveling steadily toward them. And you'll know that, if need be, you're in position to withstand unexpected financial challenges. Let's face it: Unexpected financial needs occur in everyone's lifetime. People get laid off from their jobs, incur extraordinary medical expenses, or need to offer financial assistance to a family member. If you're a saver following a plan, you can weather those challenges far better than people who spend every penny

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