Results for "retirement plan advisers"

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Merrill Lynch and Morgan Stanley: A tale of two fiduciary 401(k) business models

March 24, 2017

The wealth management units at Merrill Lynch and Morgan Stanley within the past few weeks announced substantive changes to their respective 401(k) businesses, and while each approach shares common ground they also differ in notable ways. Where...

Morgan Stanley eliminating commissions, finder's fees in 401(k) plans

March 24, 2017

Morgan Stanley Wealth Management is eliminating commission payments and finder's fees for its advisers servicing 401(k) plans, shifting entirely to a level compensation arrangement based on plan assets, according to a source with knowledge of...

401(k) plan sponsors want financial advisers to better know their businesses

March 21, 2017

Employers sponsoring 401(k) plans want advisers to challenge their assumptions and commit to knowing their specific company and their industry, a panel of plan sponsors said Monday at the National Association of Plan Advisors annual conference...

Social media's place in marketing

March 19, 2017

I​ didn't start my career in marketing. In fact, my first desire to understand marketing was because I had a sizable sales goal. My position required me to reach a national audience with little to no brand recognition — or marketing budget....

Large advisory shops build custom target-date funds

March 19, 2017

Advisory practices with tens of billions in defined-contribution-plan assets are building custom target-date funds for advisers to use with clients, leveraging their scale to deliver low-cost funds to even the smallest retirement plans and,...

Despite uncertainty, Department of Labor fiduciary rule upends 401(k) biz

March 19, 2017

Even though its fate is unclear, the Department of Labor's fiduciary rule is upending the retirement plan adviser market, which spans the adviser spectrum from "dabblers" to defined contribution "specialists." Observers say such changes began...

Retirement gets a deeper dive

March 19, 2017

As you can probably guess by the launch of our RPA supplement, InvestmentNews is stepping up its game when it comes to producing compelling editorial content for financial advisers who serve retirement plan sponsors and participants. InvestmentNews'...

Metamorphosis of DC investment-only wholesalers

March 19, 2017

In the 1949 Arthur Miller play "Death of a Salesman," 63-year-old Willy Loman confronts his future. Bombastic and unrealistic, Mr. Loman looks in the mirror and sees few, if any, viable or attractive alternatives. Though it's not as bleak, financial...

Faltering congressional support for auto-IRAs leaves legislation up to states

March 19, 2017

Our private pension system has accomplished a great deal. Employer-sponsored plans provide meaningful benefits to tens of millions of middle-income working families, supplementing Social Security, and have accumulated the largest pool of investment...

Plan sponsors want help with DOL fiduciary duties

March 19, 2017

Plan sponsors worry about participants suing over inferior investment choices or high fees. At the same time, they're anxious about the Labor Department or Internal Revenue Service finding fault with their plan design or processes. They want...

Small-market retirement plan advisers face big-time challenges

March 16, 2017

Once upon a time, defined contribution plans seemed to be "set it and forget it" tools for plan participants. Organizations would decide to offer a vehicle for retirement savings and put the plan in place for employees to defer money. From that...

Some active target-date fund managers shine as passive management continues 401(k) onslaught

March 16, 2017

While passive management continued its steady climb in the target-date fund market, a few asset managers with actively-managed TDFs managed to outshine their indexing counterparts in 2016. Target-date fund assets held by passive managers, led...

InvestmentNews expands retirement plan adviser coverage

March 15, 2017

InvestmentNews announced Wednesday that it is expanding its retirement plan adviser coverage by recruiting a nationally recognized expert of that growing market to help guide its efforts. Fred Barstein, who was the driving force behind the launch...

Will the DOL fiduciary rule kill 401(k) plan referrals?

March 15, 2017

Experienced defined contribution plan advisers are excited about the potential flood of referrals from less-experienced plan advisers not interested in acting as a 401(k) plan fiduciary when the DOL fiduciary rule kicks in. Many less-experienced...

How to service small retirement plans and still make a profit

March 15, 2017

Small 401(k) plans — those with less than roughly $10 million in assets — need the most help from a fiduciary plan adviser, and yet this is the market that's most underserved. That's partly because fiduciary advisers traditionally working...

Medicare rules differ for small business owners and employees

March 13, 2017

Financial advisers who work with owners or employees of small businesses that employ fewer than 20 workers should be aware of a special rule that affects these clients: They must enroll in Medicare when they turn 65 or face lifelong penalties....

Morgan Stanley debuts fiduciary product for small 401(k) plans, with eye toward DOL rule

March 9, 2017

Morgan Stanley Wealth Management is making a push into the small 401(k) marketplace, debuting a fiduciary product exclusively available to its advisers and offering a risk-controlled way to continue servicing those plans when the Department...

401(k) advisers, take heed of guidance on hardship withdrawals for clients

March 8, 2017

In recent months, the Internal Revenue Service has provided guidance with respect to hardship withdrawals from tax-qualified retirement plans. Forewarned is forearmed, and in light of this recent series of guidance on possible errors in administering...

Fidelity, Empower and T. Rowe take three different approaches to the DOL fiduciary rule

March 7, 2017

The Department of Labor's fiduciary rule is leading record keepers of 401(k) plans to adopt wildly divergent compliance strategies. Take Fidelity Investments, Empower Retirement and T. Rowe Price, three of the largest defined-contribution-plan...

Senate moves to kill DOL's state, city auto-IRA rules

March 6, 2017

The Senate has moved to kill Obama-era retirement rules governing so-called auto-IRAs for states and cities, following similar action taken up in the House of Representatives in recent weeks. Sen. Orrin Hatch, R-Utah, introduced two separate...

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