Results for "retirement plan advisers"

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Vermont poised to become latest state to set up retirement plan for small businesses

May 22, 2017

Vermont will likely become the latest state to create a retirement plan for its small businesses, in a play to boost retirement savings by increasing the number of private-sector employees covered by a workplace plan. The Vermont legislature...

What plan sponsors look for in a 401(k) adviser

May 21, 2017

They aren't dissatisfied, but plan sponsors want more from their advisers. A recent survey of plan sponsors by the National Association of Plan Advisors and The Plan Sponsor University found 53% are satisfied with their adviser and 55% are satisfied...

Advisers struggle to get 401(k) plan, participant data from record keepers

May 21, 2017

There is a fight brewing between defined contribution record keepers and advisers over access to plan and participant data which could determine the fate of retirement security for Americans. Without access to plan and participant data, advisers,...

How 401(k) advisers can create effective financial wellness programs

May 21, 2017

For all the buzz employer financial wellness programs are receiving, they may be short-lived. When our team at Duke University's Common Cents Lab evaluates financial wellness programs, we focus on one key area: Is the program using proven methods...

Retirement plan advisers turning to RIA aggregators to build practices

May 21, 2017

Some retirement plan advisers are turning to so-called "RIA aggregators" that focus on the defined contribution market to help them build their practices, the primary allure being the scale and support afforded by a large, like-minded adviser...

Plan advisers give stable value gets another look

May 20, 2017

Ever since the SEC upgraded its rules for money-market funds last fall, retirement plan advisers have been giving stable value funds a second look. By mandating that nongovernment money funds introduce special fees, redemption restrictions and...

How 401(k) advisers can bullet-proof themselves against litigation risk under DOL fiduciary rule

May 20, 2017

Many advisers who service 401(k) plans will, for the first time, be considered fiduciaries with respect to their investment advice when the Labor Department's conflict-of-interest rule comes into force next month. Along with that heightened...

Use of multiple record keepers could hurt defendants in 403(b) lawsuits

May 19, 2017

Judges in lawsuits targeting the Duke University and Emory University retirement plans have given life to a novel claim against the universities' use of multiple record keepers, setting the stage for a potential legal blow to a common practice...

President Trump signs resolution killing state auto-IRA rule

May 18, 2017

President Donald J. Trump on Wednesday evening signed a joint resolution killing an Obama-era regulation that encouraged states to set up retirement plans known as auto-IRAs. The Senate passed the resolution, H.J. Res. 66, on May 3. The House...

401(k) managed account competition heats up as Fidelity expands reach

May 17, 2017

Fidelity Investments, the largest provider of defined contribution plans, is moving to expand the reach of its fiduciary managed-account service for retirement plan participants by making it available to record-keeping platforms outside of its...

Courts' interpretations of 401(k) fiduciary laws are changing

May 16, 2017

It appears that laws of fiduciary prudence under ERISA are evolving. A recent district court decision, in Lorenz v. Safeway, demonstrates this point. "What is good for the goose is good for the gander" is not a common legal maxim, but the District...

Fidelity's approach to DOL fiduciary rule rankles some 401(k) advisers

May 15, 2017

Fidelity Investments is aggravating some retirement plan advisers. Their ire stems from changes that Fidelity, the largest record keeper of defined-contribution plans, is making to its business in relation to compliance with the Labor Department's...

Private equity adds fuel to 401(k) record-keeper consolidation

May 11, 2017

Just as 401(k) record keepers cry poverty, claiming there are no profit margins left and fueling consolidation, private equity has jumped in, perhaps seeing value that traditional record keepers are missing. What's causing this consolidation...

Forget bingo! More Americans are working part-time in retirement

May 6, 2017

Mandy Hummel needed a change. A resident of Grass Valley, Calif., located outside Sacramento in the foothills of the Sierra Nevada mountains, Ms. Hummel had spent the last several years of her career working in customer service for a company...

6 tips for getting clients ready for part-time retirement

May 5, 2017

A growing number of Americans are choosing to retire from full-time employment and work part-time in retirement. Here's how financial advisers can help them through that transition:

Senate votes to kill state auto-IRA rule

May 4, 2017

The Senate voted Wednesday to kill Obama-era rules promoting the creation of certain retirement plans, called auto-IRAs, by states. The bill now heads to the desk of President Donald J. Trump, who is expected to sign it into law. The Senate...

The benefit advisers should be talking about with 401(k) plan sponsors

May 3, 2017

Imagine this for a minute: You are a promising, 25-year-old computer engineer working for a start-up. The future seems entirely exciting, brimming with possibilities. One Saturday afternoon you're riding your bike and get hit by a car. The accident...

Death of the 'blind squirrel' 401(k) adviser greatly exaggerated

April 27, 2017

Over the last decade, many experts have been predicting less experienced advisers will be forced out of the 401(k) market. With the Department of Labor's conflict-of-interest rule set to create more fiduciary advisers, those same experts are...

Retirement savings still a potential target in tax reform negotiations

April 26, 2017

The Trump administration intends to leave retirement savings untouched as part of its new tax proposal, but some remain concerned employer-sponsored plans won't survive the tax-reform process unscathed. "We're pleased with the framework that...

In K-12 403(b) plans, employees and their unions can be their own worst enemy

April 20, 2017

Defined contribution plans for public school teachers are notoriously poor retirement plans, often described as a Wild West of sorts that's plagued by minimal plan oversight, subpar investment options, and fund and insurance brokers who are...

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