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Benefits of cross-selling are too big for RPAs to ignore

May 18, 2019

At the recent InvestmentNews RPA Aggregator Roundtable and think tank, leading advisers almost unanimously agreed that cross-selling wealth management services within their 401(k) and 403(b) plans was a big opportunity. Why the focus and why...

10 largest RIA aggregators focused on defined-contribution plans

May 18, 2019

Firm Total D-C assets 
overseen by network advisers ($B) Number 
of D-C 
advisers* Primary 
contact Business 
model Captrust** $256 102 Rick Shoff Managing director Raleigh, N.C. (215) 499-3361 rick.shoff@captrust.com Acquisition RIA:...

Fielding Miller talks recruiting, 401(k) evolution and fumbles

May 18, 2019

CAPTRUST, a Raleigh, N.C.-based advisory firm with more than $300 billion in client assets, is the largest of the so-called RIA aggregators focused on the retirement market. InvestmentNews sat down with CEO Fielding Miller to discuss his business,...

What keeps these executives up at night?

May 18, 2019

David Reich, national president of retirement services, Hub International The regulatory change. When I look at the regulators when they come in and try to drive something, I think they drive value out of the space. ... Also, are we fighting...

RPAs seeking revenue streams

May 18, 2019

Financial advisers who specialize in the retirement-plan market are combatting rampant fee compression by seeking out new revenue streams, primarily in wealth management services. As advisers see their fees squeezed and some of their traditional...

Why the RIA market is so dynamic right now

May 18, 2019

Although the acquisition of wealth and retirement advisory firms has been occurring for many years, today's climate has become much more dynamic. The market for independent registered investment advisers has become one of the faster growing...

Diversity of thought, plus a culture of inclusion equals a prosperous future

May 18, 2019

The retirement plan adviser industry needs more diversity. But the diversity I am talking about is much more than what, literally speaking, meets the eye. We need diversity of thought, strengthened by a culture of inclusion. When we capitalize...

Consolidation alters RPA space

May 18, 2019

As consolidation in the retirement plan adviser space continues to heat up, financial advisers who have carved out a niche pairing retirement plan sponsors with plan providers could begin to see radically altered business dynamics. During a...

Ed Slott: How tax reform impacted popular IRA strategies

May 17, 2019

A month out from the end of tax season, and the effects of tax reform on financial advisers and their clients are increasingly coming into focus. InvestmentNews sat down with Ed Slott, a tax expert and founder of Ed Slott and Co., to discuss...

Michael Kitces says traditional retirement investment strategy is wrong

May 16, 2019

Michael Kitces thinks the investment strategy most advisers use to manage retirees' assets is wrong. Traditional thinking is to make portfolios more conservative as clients age, moving away from stocks and into bonds to protect assets. Speaking...

5 tactics to improve client retirement readiness

May 15, 2019

Five common things are preventing people from being ready to retire, according to Morningstar Inc. director of behavioral science, Sarah Newcomb. Ms. Newcomb explained the key factors and research behind them at the InvestmentNews Retirement...

The world is flat — and some people like it that way

May 15, 2019

Last time in this space I stirred the pot a bit by calling out the uneven "progress" of wealth management firms on adopting better productivity and embracing demographic realities — especially the rising importance of women clients and the...

New bill links 401(k) matches to student loan payments

May 14, 2019

A bill that includes a provision to make it easier for companies to contribute to the retirement accounts of employees who are paying down student debt was reintroduced in the Senate this week. Among other changes, such as stepping up the age...

One retirement risk few people talk about

May 14, 2019

Retirement is full of risks and hurdles, as it can span 30 or 40 years for many Americans. Certain risks are well known: running out of money, long-term care, health care and investment risks. Within these broad categories lie hidden or overlooked...

Advisers need to reinvent how they deal with aging clients, says longevity expert

May 14, 2019

The pace at which Americans are hurtling into retirement age and societal shifts in consumer expectations, in countless areas of their lives, are upending how financial advisers think about retirement planning for clients. "Your profession is...

Cross-selling poised to be next 401(k) 'battleground' issue

May 13, 2019

Cross-selling products and services to 401(k) plan participants — on the part of both record keepers and financial advisers — is shaping up to be among the most contentious issues in the retirement-plan market. The issue comes down to the...

Whistle-blower Ted Siedle sees pensions as hotbed for fraud

May 10, 2019

Ted Siedle has a bleak outlook about U.S. retirement security. That's the case particularly with public pensions, which Mr. Siedle suggests are essentially hotbeds for fraud and theft. Mr. Siedle is a bit of an authority on the subject — he...

Actively managed TDFs are getting edged out

May 9, 2019

Passively managed target-date funds are sucking the life force from their actively managed counterparts. The money flowing into passive TDFs — those that invest primarily in funds that track a broad market index like the S&P 500 — has increased...

Average Fidelity 401(k) balance increases sixfold over past decade to almost $300,000

May 9, 2019

Investors who've had 401(k) accounts at Fidelity for a decade saw their average balance increase sixfold to almost $300,000 since the market bottomed after the global financial crisis, the company said. Workers saving for retirement saw their...

Eaton Vance settles 401(k) lawsuit for $3.45 million

May 8, 2019

Eaton Vance will pay $3.45 million to settle a class-action lawsuit alleging it mismanaged its company 401(k) plan and profited at the expense of its employees by offering them in-house mutual funds. The settlement furthers a trend playing out...

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