Results for "401(k)"

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Hub-Sheridan Road latest deal to heat up M&A among 401(k) advice firms

January 10, 2019

Acquisitions of financial advisory firms focused on the retirement-plan market appear to be gaining momentum. A handful of recent deals involving large 401(k)-focused firms and a more varied group of buyers have led some experts to believe that...

3 ways to add extra value for 401(k) clients

January 2, 2019

Retirement plan advisers increasingly need to stand out from the pack to win clients. This may seem obvious, but most advisers don't seem to be doing much to differentiate themselves. To get advisers started on the right path, here is a short...

Near-retirees get a Halloween scare

October 31, 2018

Who needs to watch reruns of "Friday the 13th" horror movies for cheap Halloween thrills? A quick glance at the financial news, including the heart-stopping 900-point swing in the Dow Jones Industrial Average in intraday trading Monday, is enough...

How advisers can help 401(k) plans manage the risk of missing participants

December 18, 2018

The Department of Labor is aggressively investigating plan sponsors and asserting fiduciary breaches for failure to perform rigorous and ongoing searches for missing participants. Advisers who work with retirement plans should be educating plan...

Retirement chatbot tells the real story about investors' greatest retirement questions

December 6, 2018

If clients could ask any single question about retirement without any fear of judgment or embarrassment, what would it be? Contrary to what many advisers think, or hope, investing advice is far from their top concern. What people really want...

401(k) dilemma: Advisers weather a fog of uncertainty surrounding IRA rollovers

December 1, 2018

It's perhaps the most important inflection point of a client's financial life and one of the most lucrative for an investment adviser or broker — and with millions of baby boomers heading into their golden years of retirement, IRA rollovers...

Regulators have a sharp eye on IRA rollovers, so advisers must act cautiously

December 1, 2018

After the Department of Labor's fiduciary rule for retirement advice was killed earlier this year, many brokers likely breathed a sigh of relief. Now things could return to normal, especially in regard to IRA rollovers, a lucrative part of many...

Rollover tip sheet: What advisers should consider

December 1, 2018

Just as location, location, location is often said to be the key to good real estate, rollover recommendations have their own mantra: document, document, document. Here are some factors, based on checklists used by advisers and suggested by...

DOL set to give 401(k) advisers' businesses a boost

December 1, 2018

The Department of Labor is expanding what retirement plan advisers can offer small-business clients courtesy of new rules the agency proposed around multiple-employer plans. Although the regulations are narrower than some industry members had...

Plan advisers should offer what 401(k) sponsors really want

December 1, 2018

As outlined in my recent column, "Here's how the 401(k) world will evolve over the next three years," the adviser-sold 401(k) and 403(b) markets will experience rapid change in the next three to five years. So what are the key drivers, and how...

Future retirees focus on taxes

November 1, 2018

In the past, retirees relied on their accountants for tax advice. But future retirees increasingly are looking to their financial advisers for guidance on how to maximize their spendable retirement income by minimizing their taxes, according...

Edward Jones settles 401(k) lawsuit for $3.2 million

December 13, 2018

Edward Jones will pay $3.2 million to settle a lawsuit alleging the firm enriched itself at the expense of employees through mismanagement of its company 401(k) plan. The lawsuit, which was filed in August 2016, claimed the brokerage firm stacked...

Automatic enrollment in small-business plans is working

July 12, 2018

Corroborating behavioral finance insights on saving habits, a survey by Vanguard of 8,900 small-business retirement plans found that those having automatic enrollment enjoyed an 83% participation rate, versus 58% for plans with voluntary enrollment....

Retirement outlook for millennials

April 13, 2018

And now for something different. Although I spend most of my time writing and speaking about retirement income issues, sometimes I get the chance to address young workers at the beginning of their careers, as I did recently as part of National...

Trump to issue executive order to expand retirement savings rules for small businesses

August 31, 2018

President Donald J. Trump plans to issue an executive order Friday directing his administration to make it easier for small businesses to band together to set up retirement-savings plans. The order, to be signed in North Carolina ahead of the...

Providing incentives for annuities within retirement plans

October 15, 2018

TIAA was founded 100 years ago by Andrew Carnegie to provide college professors with retirement income through employment-based annuities. This was an innovative concept for the time, predating the Social Security system by two decades. The...

New York state creates voluntary retirement savings program

April 2, 2018

New York state became the latest state to officially endorse a voluntary retirement savings program for private-sector workers with the passage of the state budget over the weekend. The New York State Secure Choice Savings Program is contained...

Wells Fargo struggles to attract 401(k) business in wake of banking scandals

May 15, 2018

Wells Fargo & Co.'s retirement plan business has suffered following a string of negative stories related to operations within some units of the broader company, according to 401(k) advisers who use Wells Fargo products and who have had conversations...

401(k) plans are trifecta of confusion

March 14, 2018

The three major stakeholders in 401(k) plans — plan sponsors, record-keepers and the plan participants themselves — are often miles apart in their views of the plans and the positions of other stakeholders. That is the finding of research...

DOL proposes rule to reduce leakage in 401(k) plans

November 8, 2018

The Department of Labor proposed a rule late Wednesday that's meant to stanch the flow of money out of 401(k) plans, an issue that has long troubled retirement policymakers. The Labor Department's proposal promotes the idea of "auto-portability,"...

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