Results for "retirement plan advisers"

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The DOL fiduciary rule practically necessitates account aggregation

August 18, 2017

We are moving toward a world in which account aggregation will become a necessity for the financial advice industry. Let me explain. Whether it's in January 2018 or July 2019, or at some other date down the road, the Department of Labor's fiduciary...

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...

What would Steve Jobs do if he ran the 401(k) business?

August 9, 2017

Steve Jobs was a master at getting people to buy into the Apple ecosystem. It's why so many of us have purchased not just an iPhone, but an iPad and a Mac computer, too, and have done so multiple times (in my case, at least). Steve Jobs got...

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,...

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....

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...

$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...

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...

Advisers: What about your retirement?

July 28, 2017

As an adviser, you know that your clients need more than sufficient assets to ensure a successful retirement. Other major factors affect happiness in retirement, such as health, relationships, and personal development. As you help clients plan...

Retirement plan participation higher than previously thought: ICI

July 26, 2017

More workers than commonly thought participate in retirement plans, according to a study by the Investment Company Institute. But even with the new numbers, there's plenty of room for improvement. The study by the mutual fund industry's trade...

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...

U.S. falls further in retirement security ranking among developed countries

July 19, 2017

The United States fell three places to 17th among 43 developed nations in retirement security, says a report from Natixis Global Asset Management. The firm's retirement index found the highest-ranking countries to be Norway, followed by Switzerland,...

Tax incentives would boost small-business retirement plans: LPL study

July 18, 2017

An overwhelming majority of small business owners likely would adopt or enhance employee retirement plans if they were provided increased tax incentives, a new survey from LPL Financial has found. Based on data and comments from 791 small businesses,...

Managed accounts look attractive to 401(k) advisers, but how do you measure performance?

July 18, 2017

For 401(k) advisers, managed accounts are a tough nut to crack. On one hand, many advisers believe managed accounts will compete with target date funds as the most popular type of default investment option in 401(k) plans as soon as they become...

Appointing and monitoring a 401(k) investment manager under ERISA

July 13, 2017

Employee-benefit attorneys advising retirement plan sponsors frequently mention that plan fiduciaries are not liable for the acts or omissions of an appointed investment manager, and aren't obligated to invest or otherwise manage plan assets...

American Airlines reaches $22 million settlement in 401(k) self-dealing lawsuit

July 11, 2017

American Airlines Inc. has agreed to settle a 401(k) self-dealing lawsuit for $22 million, one of the largest monetary settlements reached in similar class-action litigation. Plaintiffs brought the suit, Main et al v. American Airlines Inc....

Fund manager MFS sued for self-dealing in its 401(k) plans

July 10, 2017

MFS Investment Management has been sued for self-dealing in its company 401(k) plans, becoming the latest fund firm to be targeted for stocking its retirement plan primarily with proprietary investments. The plaintiff in the lawsuit, Velazquez...

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