Results for "retirement plan advisers"

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Fidelity backs away from being 'point in time' fiduciary for 401(k) plans

July 18, 2018

Fidelity Investments will no longer serve as a fiduciary when it helps employers select investments for their 401(k) plans, moving away from a policy the firm adopted last year in response to the Department of Labor's fiduciary rule. Fidelity,...

Beware 401(k) robo-fiduciaries – especially the human ones

July 17, 2018

This article has been updated to reflect the correct name of the Mercer product mentioned in the second paragraph. There's a lot of talk about robo-advisers, many of which would be troubling to traditional 401(k) plan advisers if they had a...

Fidelity adds more financial planning to its 401(k) managed accounts

July 17, 2018

Fidelity Investments, the largest record keeper of defined-contribution plans, has upgraded its managed account service to encompass more holistic financial planning and advice for 401(k) investors. Observers say the move signals a trend that's...

Empower's new 401(k) cybersecurity guarantee a sign of the times

June 26, 2018

Empower Retirement, one of the largest retirement-plan record keepers, has begun offering participants a backstop against financial losses resulting from cyber attacks — both a sign of the mounting threat digital crime poses in the 401(k)...

401(k) advisory firms creating in-house financial wellness programs

June 19, 2018

Large retirement-plan advisory shops are increasingly adopting their own in-house financial wellness programs as they look to capitalize on an emerging area of client demand, battle ongoing fee compression and try to stand out in a market that's...

Push to require Roth 401(k) savings over traditional plans may re-emerge

June 26, 2018

Retirement plan advisers who thought Washington had ditched the idea of requiring Roth 401(k) savings instead of traditional 401(k)s should think again. Those who closely follow retirement policy say senior legislators on Capitol Hill are again...

Investors don't have a clue about using 401(k) savings, Cerulli says

June 29, 2018

A new study from research firm Cerulli Associates finds that most investors who have accumulated a retirement nest egg in a 401(k) plan are "clueless" about how to use the money. When asked what they will do with their accumulated savings, one...

Factors that determine a retirement plan adviser's value

June 2, 2018

Virtually everyone in the retirement plan business concedes that determining the value of an adviser's plan business is challenging. For one, so many variables determine it, noted Pam Popp, president of Lockton Retirement Services. These include...

Retirement plan advisers must weigh aggregator options

June 2, 2018

Retirement-focused aggregator firms have been swelling their share of defined-contribution assets and advisers, but joining such groups requires careful consideration. Each aggregator has a unique model that may entice some advisers but not...

Retirement plan adviser sales mostly for small players

June 2, 2018

The approach of retirement age for many advisers and the need to meet regulatory and technological demands are driving small-plan advisers to sell to larger specialized firms. But massive consolidation that would create an industry of just a...

IRA assets will almost double those in 401(k) plans over next five years

June 25, 2018

Assets in individual retirement accounts are likely to grow to almost twice the amount held in 401(k) plans over the next five years, according to an industry analyst. IRA assets are projected to swell to $12.6 trillion by the end of 2022, according...

FAANGS and other forces that could disrupt business for retirement plan advisers

June 2, 2018

If there is anything that recent history has taught participants in the retirement-plan market, it's that change is coming faster than expected. Regulation and technology are two of the biggest drivers of recent changes, so it's likely they...

Retirement plan advice industry in new growth phase

June 2, 2018

At the inaugural InvestmentNews Retirement Plan Advice Think Tank in New York on March 28 and 29, much of the discussion was about collaboration — between aggregators and providers, and among themselves. Why now, and what were some of the...

More retirement plan participant data, please

June 2, 2018

To many advisers serving individual investors, the sizable AUM figures of advisers specializing in defined contribution plans are tantalizing. But although the assets under their management may be substantial, retirement-plan specialists sometimes...

Retirement adviser aggregators want teams, not individuals

June 2, 2018

Greater competition and regulatory demands, as well as the need for more spending on technology, are making it increasingly difficult for advisers serving a limited number of retirement plans to continue in that business. Couple those trends...

401(k) advisers should heed the legal aspects of outsourcing

June 25, 2018

The outsourcing of retirement plan functions — administrative, investment and others — is a practice that predates the Employee Retirement Income Security Act of 1974. But its prevalence has increased in recent years as a result of increased...

When skewed super-OSJ priorities raise red flags for retirement plan advisers

May 21, 2018

Retirement plan-focused financial advisers have always been a natural fit for the super-office of supervisory jurisdiction model. The specialized nature and large scale of their practices mean that super-OSJs that understand the retirement plan...

MetLife, Brighthouse sued for $500 million over missing pensioners

June 20, 2018

MetLife Inc. and Brighthouse Financial Inc. have been sued for failing to pay at least $500 million in retirement benefits over the past 2½ decades to thousands of pension plan participants. In December, MetLife disclosed that it had failed...

Lessons 401(k) advisers learned from the DOL fiduciary rule saga

June 21, 2018

Retirement plan advisers, especially specialists, used to complain that their broker-dealers and the public ignored them — or, worse, didn't realize they existed. All that has changed now that retirement has become a key political issue and...

SEC rule proposal doesn't include 401(k) sponsors in 'best interest' advice

June 13, 2018

The Securities and Exchange Commission is trying to bridge the gap in investment advice standards for brokers and financial advisers, but the rift remains wide in one particular area: advice to 401(k) plan sponsors. The SEC proposed Regulation...

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