Results for "retirement plan advisers"

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Consolidation of record keepers for 401(k) plans 'worrisome'

September 1, 2018

Consolidation among record keepers in the retirement-plan business has created concern among some financial advisers. While deal activity has waned since a feverish pace of blockbuster acquisitions leading up to 2016, experts believe the frenetic...

Retirement plans see rise in cyberattacks

September 1, 2018

Cyberattacks have made their way into the U.S. retirement system. While we may have hoped that employer-sponsored retirement plans would escape the types of cyberattacks plaguing financial service providers and dominating headlines, service...

The case for clean shares in retirement plans

September 1, 2018

When the topic of 401(k) and 403(b) revenue sharing comes up, advisers get very vocal about why we should be moving to institutional or clean shares. Along with greater transparency, clean shares demystify how defined-contribution plans work...

Drawing down assets from a portfolio need not be tough

September 1, 2018

Decumulation is the hottest topic in the retirement industry today. Service providers are all looking for ways to distribute a reliable and predictable stream of income to defined-contribution-plan participants during their retirement in an...

HSAs functioning more as 401(k)s

September 1, 2018

Retirement plan advisers are increasingly interested in helping employer clients with their health savings accounts. But how should advisers look at these accounts? That depends on whether the employer wants to position the HSA as a transactional...

Personal Capital takes aim at retirement income

August 31, 2018

Personal Capital's latest feature on its robo platform helps clients create a tax-efficient retirement income strategy. Retirement Paycheck leverages account level tax status, household tax filing status, and the latest state and federal tax...

LPL lets more advisers do fiduciary 401(k) business

August 28, 2018

LPL Financial has relaxed some of the internal qualifications necessary to service 401(k) plans in an advisory capacity on its corporate RIA, effectively permitting more advisers to service plans as a fiduciary. LPL, the nation's largest independent...

The biggest obstacle to America's retirement security

August 28, 2018

Despite what we hear from uninformed politicians, conflicted lobbyists, the pandering mass media and most of the 401(k) industry, the biggest obstacle to solving the retirement crisis is the lack of engagement among the senior management at...

401(k) advisers see student loan benefits as next 'evolution'

August 24, 2018

Increasing student loan debt has drawn the attention of retirement plan advisers interested in finding ways to couple 401(k) plans and student loan repayment programs. A young employee may not be able to save for retirement while paying down...

Are 401(k) adviser aggregators the new 'wirehouses' for elite retirement plan advisers?

August 16, 2018

The death of traditional wirehouses that's predicted periodically by industry experts is greatly exaggerated. Wirehouse advisers — those housed in the wealth management divisions of Merrill Lynch, Morgan Stanley, UBS and Wells Fargo — stay...

Advisers home in on HENRYs overlooked by banks, retirement-plan providers

August 15, 2018

Banks and retirement-plan providers are missing the mark when it comes to capturing an attractive client segment of younger high earners who haven't yet reached wealthy status — and it's creating an opportunity for financial advisers. The...

Deutsche Bank settles 401(k) self-dealing lawsuit for $21.9 million

August 15, 2018

Deutsche Bank has reached a $21.9 million settlement in a lawsuit alleging the investment bank enriched itself at the expense of its employees by loading its company 401(k) plan with proprietary funds. Deutsche's settlement, which still needs...

Why you should still take the fiduciary high ground on 401(k) rollovers

August 14, 2018

Only in Washington, some might say, can you find a regulation that for all intents and purposes is dead and buried yet still lives on. The Fifth Circuit Court of Appeals issued its mandate to vacate the Department of Labor fiduciary rule in...

Plan sponsors shift focus away from costs

August 13, 2018

With about one-third of plan sponsors citing it as their major concern, effectively preparing employees for retirement financially has slightly edged out an emphasis on reducing plan costs as their top issue. That was the key finding of Fidelity...

DOL fiduciary rule death leaves 401(k) advisers in legal 'grey area' with rollovers

August 9, 2018

It's no secret that the broad financial industry despised the Department of Labor fiduciary rule. The regulation, which lived a short while before dying in court, upended the status quo with respect to retirement savers, cracking down on brokers'...

401(k) robo Guideline tries to woo advisers with new service

August 6, 2018

Guideline Inc., one of several upstart companies trying to woo small 401(k) plans by pitching their relatively low costs and technology, has launched a product that targets retirement plan advisers. Guideline, founded roughly a year and a half...

Citigroup reaches $6.9 million settlement in 401(k) lawsuit

August 6, 2018

Citigroup Inc. has reached a $6.9 million settlement with plaintiffs in a more than decade old lawsuit alleging the financial services firm stuffed its retirement plan with expensive in-house investments, thereby enriching the company at the...

American Funds offering TDFs in collective investment trusts

August 3, 2018

Capital Group, the asset manager behind the American Funds investment brand, is planning to offer its target-date mutual funds in a collective-investment-trust-fund vehicle later this year, in a move to seize on the growing popularity of CITs...

3 ways advisers should prepare for ESG conversations with 401(k) clients

August 2, 2018

Retirement plan advisers likely won't know when environmental, social and governance investing — also known as sustainable investing and impact investing — factors will be of interest to clients. That's why they need to develop a plan in...

Why the 'Father of the 401(k)' is both right and wrong about small plans

August 1, 2018

There's no question that smaller companies are under greater pressure than ever to offer a retirement plan to workers, either because of state requirements or to attract employees in a market with a historically low level of unemployment. But...

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