Results for "403(b) plans"

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Why 401(k) advisers should be aware of contractual language limitations

January 18, 2018

As counsel for investment managers and investment advisers, we endeavor to draft documents precisely, making clear the obligations of our clients and seeking to limit their exposures to the extent permissible by the Employee Retirement Income...

Why raising fee awareness matters for 401(k) advisers

January 18, 2018

A keystone behavior is one that positively influences other behaviors and generates collateral benefits. For retirement plan advisers who want to positively impact the success of their plan clients and participants, this means focusing on raising...

New Year's resolutions for 401(k) advisers

January 17, 2018

Opportunities for retirement plan advisers have never been greater. But so are the challenges. The stakes are high, given the lack of retirement plan coverage for half of America's workforce and the fact that most workers are woefully unprepared...

In rare move, investment adviser named as defendant in NYU retirement plan case

January 16, 2018

In an unusual turn of events, the investment adviser to New York University's retirement plan has been named as a co-defendant in litigation attacking the plan's allegedly excessive fees. Plaintiffs contend the adviser, Cammack LaRhette Advisors,...

Qualified Plan Advisors acquires $4 billion retirement shop

January 9, 2018

Qualified Plan Advisors, an Overland Park, Kan.-based firm focused on defined-contribution plans, has acquired an advisory group overseeing roughly $4 billion in retirement assets, furthering the consolidation trend that's gripped the retirement...

Tax law's pass-through provision could harm 401(k) plans

January 5, 2018

The new tax law's provision on pass-through businesses is proving to be one of the most challenging to dissect, and it's one that some retirement pundits are eyeing with concern. Some industry groups, such as the American Retirement Association,...

Allianz agrees to settle 401(k) fee lawsuit for $12 million

January 2, 2018

Allianz has agreed to pay $12 million to settle a lawsuit alleging it peppered its company 401(k) plan with dozens of high-cost, in-house funds. Participants in the 401(k) plan originally brought the suit, Urakhchin v. Allianz Asset Management...

4 questions to ask before doing a 401(k) plan re-enrollment

December 22, 2017

Having a process to help plan sponsors with 401(k) plan re-enrollments is becoming table stakes for retirement plan advisers. Employers do re-enrollments to make sure plan participants have appropriate asset allocations and savings rates. During...

2018 predictions for 401(k) advisers, distributors and record keepers

December 20, 2017

As we approach the end of 2017 and enter 2018, the adviser-sold 401(k) market begins its next phase of development. No longer an awkward, energetic teenager, the market is entering early adulthood, bringing with it heightened responsibilities,...

Unions could be 'next frontier' for retirement plan litigation

December 1, 2017

Defined contribution plans for labor unions appear to be the newest target of retirement plan litigation, following the filing of a lawsuit that legal experts say is likely the first to attack a union for excessive fees. The lawsuit, Ybarra...

New RIA aggregator enters 401(k) market

November 30, 2017

Hub International is a neophyte among so-called RIA aggregators focused on the retirement plan market, but it's making a grand entrance that signals competitive heft and further hints at a growing consolidation trend among plan advisers. Aggregators...

Morningstar: Small-employer retirement plans need legislative fixes

November 29, 2017

Two fixes would go a long way toward solving the problems entrenched in the small-retirement-plan market, namely high costs and a wide coverage gap, according to a new policy paper issued by Morningstar. Those tweaks—adopting legislation that...

401(k) managed account push rife with conflicts of interest

November 28, 2017

Record keepers are looking to managed accounts to be their next 401(k) cash cow, but the way some firms are promoting the products to investors is rife with conflicts. Several providers, including Nationwide, Voya Financial and ICMA-RC, offer...

DOL fiduciary rule limiting DCIO support to plan advisers in unexpected ways

November 21, 2017

The Department of Labor fiduciary rule is pushing more 401(k) plan advisers to a fee-based model, but that shift is leading to an unexpected consequence: dark data. Asset managers, also known as defined contribution investment-only providers,...

403(b) advisers disappointed with TIAA, but say other providers are 'way worse'

November 20, 2017

Financial advisers were surprised to learn of TIAA's alleged shady dealings with retirement savers, but say its practices pale in comparison to some of its peers. Recent reports in The New York Times detailed conflicts of interest in TIAA's...

Wells Fargo sees big TDF outflows from mutual funds

November 20, 2017

Target-date funds are on track for a near-record year, but Wells Fargo & Co. doesn't seem to be participating in the boom. TDFs have catapulted to popularity over the past decade as 401(k) plan sponsors' preferred default investment, and flows...

Tax reform: Retirement industry dodges bullet as Senate and House bills advance

November 17, 2017

The retirement industry can breathe a collective sigh of relief today as the House and Senate tax bills advance in their respective chambers. Despite all the doomsday talk relative to setting strict limits on pre-tax 401(k) contributions and...

Wells Fargo requires advisers to use level fees for new 401(k) business

November 14, 2017

Wells Fargo Advisors is requiring that financial advisers servicing 401(k) plans do so in a level-fee arrangement for new business, as have other large brokerage firms, in response to the Department of Labor's fiduciary rule. "We have moved...

Head of Merrill Lynch's adviser-sold 401(k) sales to depart

November 10, 2017

Joe Mrozek, head of small- and middle-market 401(k) sales at Merrill Lynch, is leaving the firm, a spokeswoman has confirmed. Mr. Mrozek, whose official title is head of small-mid market business development and adviser programs, has taken a...

Tax reform: How the House bill changes rules for retirement savings

November 3, 2017

The headline news for retirement plan advisers Thursday upon the unveiling of the House tax bill was that a reduction in the pre-tax 401(k) savings limit is off the table, for now. But there are plenty of other details in the tax-reform legislation,...

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