Results for "retirement plan advisers"

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Lawsuits push 401(k) plan sponsors to cut fees

January 18, 2018

Employers are moving to reduce their 401(k) plan costs in greater numbers, largely in an attempt to avoid the fate of peers who've been sued for allegedly excessive fees in their defined-contribution plans, new research suggests. "[Fee pressure]...

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,...

NextCapital gets $30 million more in funding for its digital advice platforms

January 4, 2018

NextCapital, a technology vendor that builds customized digital advice platforms for large financial institutions, announced Thursday morning the completion of a $30 million round of Series C funding. The company currently offers what it calls...

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...

Retirement plan sponsors' top criteria for choosing an adviser

November 22, 2017

Each year, millions of dollars are spent by advisers and record-keepers in their pursuit of new defined-contribution plan sponsor accounts. Churn in the DC industry is notoriously low. This is the result of relatively high overall satisfaction...

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...

401(k) plan sponsors are taking RFPs more seriously — advisers should, too

November 22, 2017

For retirement plan sponsors, conducting requests for proposal is a necessary fiduciary practice. The process allows sponsors to solicit bids for various plan services, including those provided by plan advisers. Sponsors are taking the RFP process...

Excessive-fee litigation in retirement plan market moving downstream

November 22, 2017

A series of civil actions filed against the sponsors of 403(b) plans last summer named as defendants several large universities, including the Massachusetts Institute of Technology, Yale, New York University, Duke, Vanderbilt, University of...

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,...

How plan advisers can ease stress about retirement readiness

September 19, 2017

According to a recent retirement confidence study conducted by the Employee Benefit Research Institute, American workers are stressed about their inability to retire, but few are doing anything about it. For retirement plan advisers, this is...

Smart data can improve behavior, outcomes for retirement savers

November 9, 2017

We have all heard of big data, which the defined contribution industry has not leveraged sufficiently and has gotten a black eye for it. At a recent industry conference, I heard Tina Wilson, senior vice president at MassMutual, mention a new...

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...

CIT interest rising among 401(k) sponsors

November 22, 2017

For over a decade now, pundits have been predicting a mass movement of 401(k) plans away from mutual funds and toward collective investment trusts. Migration numbers have not borne that out — yet. But now, some forecasts suggest the time of...

Retirement plan advisers need to start planning for their own succession

November 22, 2017

It may seem odd that financial professionals who help clients plan for retirement rarely do a good job planning for retirement themselves. Beyond the cliché that a shoemaker's children often go barefoot, it highlights the fact that most successful...

Do specialized retirement plan advisers even need a broker-dealer?

November 22, 2017

Financial advisers who specialize in the retirement plan market may find themselves considering a break from their broker-dealer. The past several years have seen 401(k) specialists, similar to wealth managers in the retail market, migrate toward...

401(k) advisers under pressure to keep up with due diligence of investment products

October 24, 2017

Regulation and market forces are driving rapid evolution of investment products. Costs are coming down, conflicts are coming under closer scrutiny, and competitive pressures – along with shifting investor objectives – are reshaping new product...

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