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Most plan sponsors like their advisers, but 38% want to switch, says Fidelity

August 30, 2017

While 65% of plan sponsors are highly satisfied with their plan advisers, a record share of sponsors — 38% — are actively looking to switch advisers, up from 30% last year, according to a study of plan sponsors conducted by Fidelity Investments....

DOL fiduciary rule: The 5 biggest things to watch for if BICE's class-action provision is killed

August 29, 2017

The Trump administration last week delivered a clear signal it aims to kill one of the most hotly contested parts of its fiduciary rule — the provision about class-action lawsuits. Beginning Jan. 1 — or July 2019 if the DOL delays that implementation...

Expense ratios for defined-contribution plans stall out at a new low

August 23, 2017

For years, fees on investments in workplace retirement savings plans have been falling. Now, at least for the moment, they're stalling. The average expense ratio on investments in defined-contribution, or 401(k), plans, dropped by a hair to...

How to (and not to) work effectively with teachers as 403(b) clients

August 23, 2017

Teachers desperately need unbiased financial guidance. However, that guidance is in short supply, especially for public schoolteachers. More than ever, their security blanket of guaranteed pension income needs to be supplemented by defined contribution...

Tibble v. Edison 401(k) fee-case decision offers 3 lessons

August 22, 2017

Tibble v. Edison, a landmark 401(k)-fee case, is finally nearing its close after 10 years of litigation, following a court order last week that laid to rest the lawsuit's remaining points of contention. The case, the first of its kind to go...

401(k) advisers value active management in some categories, despite indexing craze

August 21, 2017

Index funds are continuing their push into 401(k) plan menus, but some retirement plan advisers and analysts still see areas where active management makes sense. The number of 401(k) plans offering index funds to employees swelled to 89.4% of...

Plaintiffs win in Tibble vs. Edison 401(k) fee case

August 17, 2017

A U.S. District Court judge in Los Angeles has ruled for plaintiffs who claimed that executives of an Edison International Inc. 401(k) plan violated their fiduciary duties by selecting more-expensive retail-priced shares versus institutionally...

401(k) DCIOs: Some are folding, holding and doubling down

August 16, 2017

Editor's note: This story was updated on Aug. 18, based on additional information received from Russell Investments. All segments of the 401(k) market are going through the early stages of maturity, led by record keepers and broker-dealers,...

How to select the right TDF for a 401(k) plan

August 15, 2017

Target-date funds are an attractive option for both plan advisers and participants. The promise of TDFs is that they are designed to protect investor assets from the risk of large losses stemming from inadequate or improper portfolio diversification....

How one 401(k) adviser is successfully prospecting clients under the DOL fiduciary rule

August 9, 2017

The Department of Labor's fiduciary rule is expected to create a bundle of client prospecting opportunities for advisers specializing in retirement plans, as less-experienced 401(k) advisers exit the market or employers ditch them for a more...

Vanguard outsources some 403(b) record keeping to Newport Group

August 7, 2017

An earlier version of this story stated incorrectly that Vanguard waives an investment management fee for 403(b) participants if they have non-403(b) accounts with the company in excess of $50,000. It is an annual fee that is waived. Vanguard...

DOL releases new fiduciary rule FAQs focused on 401(k) plans

August 4, 2017

The Department of Labor has released a new round of answers to frequently asked questions on the fiduciary rule, focusing primarily on issues affecting defined contribution plans and retirement plan advisers. The FAQs, released Thursday afternoon,...

401(k) savings continue to hit record highs

August 3, 2017

It's happened again: Retirement savings account balances have hit all-time highs. A string of record 401(k) and IRA account totals now stretches across three consecutive quarters, according to second-quarter data from Fidelity Investments. The...

How to reduce risk when doing 401(k) plan re-enrollments

August 2, 2017

Re-enrolling workers in 401(k) plans has become a prevalent plan-design element over the past decade. But retirement plan advisers should ensure they're initiating re-enrollments in a way that reduces risk both for them and the plan sponsor....

$6 billion hybrid RIA group leaves LPL for Cetera

August 1, 2017

A group of advisers with roughly $6 billion in retirement plan assets has left LPL Financial for Cetera Advisor Networks, according to a source with knowledge of the move. The three advisers belong to Alliant Retirement Consulting, a hybrid...

The upside-down 401(k) world is about to change

August 1, 2017

When industries are on the precipice of transformation, the market is ready to turn upside down. In the early 1990s, Nicholas Negroponte, founder of the Massachusetts Institute of Technology's Media Lab, declared that media and technology were...

Today's retirees are better off than previously thought

August 1, 2017

Millions of American workers are frozen out of their companies' pension plans. Maybe you get a 401(k), if you're lucky. But the traditional pension is dead. Unless, perhaps, you're already retired. It still lives for millions of older Americans...

Number of experienced defined-contribution plan advisers to grow with DOL fiduciary rule

July 31, 2017

Experienced retirement plan advisers represent a small fraction of the overall number of advisers working with defined-contribution plans, but they control a staggering amount of the assets. Together, the elite DC-plan advisers, the most specialized...

DOL fiduciary rule causing DC-plan record keepers to change business with insurance agents

July 24, 2017

Independent insurance agents have been among the most affected by the Department of Labor's fiduciary rule, and it appears some defined-contribution-plan record keepers have been contributing to that upheaval. Record keepers such as Principal...

Shifting DCIO distribution offers opportunity for 401(k) advisers

July 19, 2017

In the large defined-contribution-plan market — the realm of plans larger than $1 billion — the norm is for money managers to sell directly to plan sponsors and work cooperatively with the plan's consultants. For smaller plans, the defined...

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