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Why 401(k) advisers should heed TPA consolidation
Shops that do plan administration have been getting snapped up recently, a trend that could disrupt advisers' businesses.
Advisers urged to resist ‘fiduciary fatigue’
It will likely be another 12 months before the SEC's investment-advice rule takes shape: expert
Vanguard: More than half of 401(k) participants invest solely in target-date funds
Annual report also finds voluntary and default savings rates are converging.
After firms dump protocol, advisers show reluctance to make a move
Observers say there's fear of potential lawsuits that quash contact with clients when a broker or adviser seeks a new employer.
Finra bars former Bancorp rep for taking almost $106,000 from client
John Douglas Wade 'converted' funds from clients' accounts for his own use.
Medicare trust fund will be exhausted in 2026, three years earlier than expected
New depletion date is blamed on lower payroll taxes, less revenue from taxing Social Security benefits and higher-than-expected spending.
Allianz and Vestwell partner on 401(k) distribution
The life insurer is promoting Vestwell's automated services to retirement-plan advisers at independent broker-dealers.
Neil Hennessy: Active managers can grow their assets with acquisitions
Make an acquisition the same way that you'd buy a stock.
Clayton promises ‘not to take forever’ on SEC advice rule
Following Capitol Hill testimony, top regulator declines to say whether he will extend comment deadline on proposed reform package.
Unlocking Social Security’s Future: 2034 Outlook
Although the trust fund depletion date remains unchanged, 2034 is when surplus funds will run out if Congress doesn't act.
Finra orders broker to pay First Command $105,000 in damages
Case involves former broker John Velez in Tucson, Ariz.
Keeping Eyes Peeled for a Bearish Turn
A prudent approach to tactical equity allocation can facilitate participation and help mitigate loss.
Taxpayer lobbying group sues to kill California automatic retirement savings plan
Suit argues that the California Secure Choice program is preempted by ERISA.
Invesco sued for ‘indiscriminately’ loading 401(k) plan with in-house funds
At least 93% of the funds in the Invesco 401(k) plan are proprietary investments, according to the plaintiffs.
New SEC nominee could become decisive vote on investment advice proposal
Trump administration taps Senate aide to fill departing commissioner Piwowar's seat.
Florida lures money managers
Limitation on property tax deduction boosts the state's pitch to finance executives living in New York, Connecticut.
2019 Social Security cost-of-living adjustment could top 3 percent
Unofficial estimate would be largest increase since 2012, but retiree costs are growing even faster.
New York RIA to pay $8 million to SEC in settlement
Agency says deVere USA and two former managers failed to disclose conflicts
EP Wealth Advisors buys $400 million Donnelly Wealth Advisors
Addition of San Diego-based firm brings EP's AUM to $4 billion.
Retirement plan advisers must weigh aggregator options
Consolidators offer many different models and procedures.
