Results for "retirement"

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A younger spouse can lower required minimum distributions

December 10, 2018

Here's one I haven't heard before. I received a question from a financial adviser wondering if he could help his client reduce his required minimum distribution burden and the resulting tax on his $2 million individual retirement account by...

3 big reasons to do a Roth conversion right now

December 10, 2018

Lower tax rates, a slumping stock market and the time of year offer pristine conditions for financial advisers to do a Roth conversion with clients. Roth conversions allow clients to convert all or a portion of their traditional, pretax individual...

Midwestern magic? RIA assets soared nearly 30% there last year

December 8, 2018

It might be too soon to say that the big coastal cities are losing their mojo, but from a financial planning perspective the latest momentum favors some of the sleepier areas of the Midwest. An InvestmentNews analysis of SEC-registered RIAs...

For Silvercrest Asset Management Group, client referrals were gold

December 8, 2018

Silvercrest Asset Management Group is a multi-family-office advisory firm that credits client referrals for much of its growth to $21.3 billion. Founded in 2002, the New York-based advisory firm has clients in 47 states. Richard Hough III, who...

For Los Angeles-based RIA Aspiriant, growth is crucial yet deliberate

December 8, 2018

Aspiriant is a $12.2 billion advisory firm fueled by grand aspirations of a national network and brand. Rob Francais, CEO of the Los Angeles-based RIA, wants to take independent financial planning down the same path followed by national accounting...

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...

Richard Neal: the new face driving retirement policy in Washington

December 6, 2018

Retirement policy will have a new face in Washington next year, and that could mean major changes to the 401(k) industry. Rep. Richard Neal, D-Mass., will become chairman of the House Ways and Means Committee when Democrats take control of the...

Vestwell and BNY Mellon partner on 401(k) plans, auto-IRAs

December 5, 2018

Bank of New York Mellon Corp. and robo-adviser Vestwell Holdings Inc. have inked a deal to partner on workplace retirement programs such as 401(k) plans and auto-IRAs. Under the partnership, Vestwell will serve as the technology backbone underpinning...

Here's where elite 401(k) advisers are focusing their energy

December 5, 2018

Elite retirement plan advisers, the ones most specialized in retirement plans, are primarily focusing on referrals and financial wellness to grow their practices and better service clients. Based on new research conducted by The Retirement Advisor...

BB&T settles 401(k) lawsuit for $24 million

December 4, 2018

Branch Banking and Trust Co. will pay $24 million to settle a lawsuit alleging it profited from its 401(k) plan at the expense of its employees, one of the largest settlements to date reached by a financial firm involved in such litigation....

Investor confusion about target-date funds is alarming

December 1, 2018

Considering the immense popularity of target-date funds among participants in defined-contribution plans, it's important to understand why participants are picking these funds and what they understand about them. Do participants actually know...

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...

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...

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...

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...

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...

Anger over Ohio National's attack on VA contracts

November 30, 2018

I am angry and appalled by Ohio National Financial Services' announcement that it will terminate the trailing commissions on existing variable annuity contracts with guaranteed income benefits. Talk about changing the rules in the middle of...

Annuity and mutual fund interests at odds over 401(k) disclosures

November 29, 2018

A fight is breaking out over retirement legislation that the U.S. Congress is trying to jam through before year's end, pitting insurance and mutual fund groups, as well as large 401(k) providers, against each other. The rancor concerns just...

Large broker-dealers expand how they work with small 401(k) plans

November 28, 2018

Large brokerage firms are giving more attention to how their financial advisers do business with small 401(k) plans. Firms such as UBS Wealth Management Americas, Raymond James, LPL Financial, Morgan Stanley Wealth Management, Merrill Lynch...

Congress tries to jam through retirement legislation by year-end

November 27, 2018

Congress is making one final push to get retirement legislation passed by the end of the year, with provisions promoting more 401(k) plan formation and greater use of annuities hanging in the balance. Kevin Brady, chairman of the House Ways...

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