Results for "retirement plan advisers"

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Some 401(k) advisers seize on Trump tax reform to push Roth

January 27, 2017

Some retirement plan advisers are using the prospect of tax reform in the Trump administration to promote the idea of a Roth 401(k) to employers and their employees. Lower income tax rates are a prominent feature of tax plans presented by both...

$4 billion hybrid RIA to leave LPL

January 27, 2017

Resources Investment Advisors Inc., a hybrid RIA with roughly $4.1 billion in assets that focuses on corporate retirement plans, and LPL Financial are parting ways, the two companies confirmed. A network of several hybrid registered investment...

JPMorgan sued for self-dealing in its 401(k) plan

January 26, 2017

JPMorgan Chase & Co. has been sued by a participant in its 401(k) plan for allegedly causing employees to pay millions of dollars in excessive fees through a scheme motivated by “self-interest.” The plaintiff claims JPMorgan, as well as...

401(k) plans make big fund changes following new money market rules

January 25, 2017

Employers have drastically mixed up the “safe” investment options offered in their defined contribution plans in response to new rules that came into effect last year regarding money market funds. The Securities and Exchange Commission's...

Schwab sued over funds offered in its own 401(k) plan

January 23, 2017

A participant in a Charles Schwab Corp. 401(k) plan sued plan and corporate executives, alleging they violated their ERISA duties by offering Schwab funds that were “more expensive than comparable alternatives available in the marketplace.”...

Clients getting divorced may encounter hidden 401(k) fees

January 23, 2017

A profit center. A silent fee. One more kick in the pants. Those are a few of the ways divorce lawyers describe the fee that many 401(k) plan participants have to pay when they need to divide a retirement account in a divorce. As more wealth...

Young retirement robo ForUsAll scoring high employee participation rates

January 20, 2017

ForUsAll, a budding retirement robo-adviser launched by three former Financial Engines employees, is having more success convincing plan participants to save for their futures than the industry as a whole. Companies using the automated advice...

DOL's new FAQs on fiduciary rule focus on circumventing fiduciary status

January 18, 2017

The Department of Labor has issued a second set of answers to questions frequently asked by advisers about its new conflict of interest rule. The document reiterates, reinforces and clarifies key concepts at a technical level through the use...

Second round of DOL fiduciary rule FAQs clears confusion on common compensation practice for 401(k) advisers

January 17, 2017

The Department of Labor, in its recent round of answers to frequently asked questions on the fiduciary rule, green-lit a popular compensation method used by retirement plan advisers that some had called into question following the department's...

Most small employers oppose state, federal government as auto-IRA sponsors: survey

January 13, 2017

While the vast majority of small-business owners support the idea of offering auto-IRAs to their employees, most oppose the plans being sponsored and administered by the state or federal government, according to a survey conducted by The Pew...

Why This May Be the Right Time to Sell Your Practice

January 11, 2017

There's no more daunting task than creating a succession plan for your practice. You're busy. You'd rather be serving clients. Adding to the challenge, it feels more complicated the more successful and sophisticated your business becomes. It's...

Why retirement plan advisers should care about the HSA market

January 11, 2017

Why should retirement plan advisers care about health savings accounts? The short answer: The HSA market is growing and there is a void in education and advice, which retirement plan advisers are perfectly positioned to fill. The money in HSAs...

RIAs could be ultimate winners if DOL fiduciary rule is repealed or delayed

January 11, 2017

As potential delays and road blocks pile up in front the Department of Labor's fiduciary rule, an irony is emerging in that the strongest supporters of the rule could benefit the most from the rule's demise. Independent registered investment...

State auto-IRA programs could be a boon for 401(k) advisers

January 9, 2017

State retirement programs like the ones being established in California and Maryland may, at first blush, seem to pose competition for 401(k) advisers. After all, the programs would seemingly take away potential client prospects. Aside from...

J.C. Penney agrees to pay $4.5 million to settle 401(k) suit

January 6, 2017

Department-store chain J.C. Penney is poised to pay $4.5 million to settle allegations over company stock in the firm's 401(k) plan, following a district court judge's preliminary approval of the settlement. Participants in the company's 401(k)...

Americans steadily boosting 401(k) deferral rates

January 5, 2017

Saving for retirement requires making sacrifices now so your future self can afford to stop working later. Someday. Maybe. It's not news that Americans aren't saving enough. The typical baby boomer, whose generation is just starting to retire,...

Prudential, Captrust win 401(k) fiduciary breach lawsuit

January 4, 2017

Prudential Financial and CAPTRUST Financial Advisors have defeated allegations of fiduciary breach in a 401(k) lawsuit against the two companies and the employer sponsoring the retirement plan. Connecticut district court judge Victor A. Bolden...

Outlook for 2017 retirement plan litigation

January 3, 2017

2016 saw an uptick in litigation targeting retirement plan fiduciaries, and 2017 will see more of the same, plus the resolution of the definition of a church plan with respect to organizations affiliated with churches, and more cases involving...

Obama administration shows more support for annuities in 401(k) plans

January 3, 2017

In its most recent show of support for lifetime income products in defined-contribution plans, the Obama administration has said it may be “prudent” in particular circumstances to default participants into target date funds that bundle in...

Raymond James scores a duo from Wells Fargo Advisors

December 28, 2016

Raymond James & Associates has recruited a Westport, Conn.,-based advisory duo from Wells Fargo Advisors. Lynn Grossman and her business partner, Brian Vieira, managed more than $230 million at Wells Fargo and will now be working under the leadership...

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