Results for "retirement plan advisers"

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How advisers can navigate ESG investing in 401(k) plans

June 11, 2018

Despite three attempts in the last four years by the Department of Labor to clarify if, when and how environmental, social and governance (ESG) factors can be used in the investment due-diligence process for retirement plans, advisers are still...

Why 401(k) advisers should heed TPA consolidation

June 6, 2018

Third-party administrators have been in the spotlight following a string of recent acquisitions, and retirement plan advisers should take note. TPAs, which provide administrative services to defined-contribution plans, have been getting more...

401(k) advisers, is your value proposition even valuable?

June 6, 2018

If you talk to any marketing consultant, one of the top things they bring up is having a value proposition. This is commonly known as your "elevator pitch." Basically, if you're at a cocktail party, how do you describe what you do to people?...

Allianz and Vestwell partner on 401(k) distribution

June 5, 2018

Allianz Life Insurance Co. of North America has forged a sales partnership with Vestwell designed to distribute the 401(k) robo-adviser's services through thousands of independent retirement-plan advisers. Allianz, which offers insurance products...

Invesco sued for 'indiscriminately' loading 401(k) plan with in-house funds

June 4, 2018

Invesco has been sued for allegedly stacking its 401(k) plan with proprietary investments, joining the ranks of more than 20 asset managers who have had to defend against similar claims of mismanagement by employees seeking to claw back lost...

More retirement plan participant data, please

June 2, 2018

To many advisers serving individual investors, the sizable AUM figures of advisers specializing in defined contribution plans are tantalizing. But although the assets under their management may be substantial, retirement-plan specialists sometimes...

Retirement plan advice industry in new growth phase

June 2, 2018

At the inaugural InvestmentNews Retirement Plan Advice Think Tank in New York on March 28 and 29, much of the discussion was about collaboration — between aggregators and providers, and among themselves. Why now, and what were some of the...

Retirement plan advisers must weigh aggregator options

June 2, 2018

Retirement-focused aggregator firms have been swelling their share of defined-contribution assets and advisers, but joining such groups requires careful consideration. Each aggregator has a unique model that may entice some advisers but not...

Retirement adviser aggregators want teams, not individuals

June 2, 2018

Greater competition and regulatory demands, as well as the need for more spending on technology, are making it increasingly difficult for advisers serving a limited number of retirement plans to continue in that business. Couple those trends...

FAANGS and other forces that could disrupt business for retirement plan advisers

June 2, 2018

If there is anything that recent history has taught participants in the retirement-plan market, it's that change is coming faster than expected. Regulation and technology are two of the biggest drivers of recent changes, so it's likely they...

Retirement plan adviser sales mostly for small players

June 2, 2018

The approach of retirement age for many advisers and the need to meet regulatory and technological demands are driving small-plan advisers to sell to larger specialized firms. But massive consolidation that would create an industry of just a...

Factors that determine a retirement plan adviser's value

June 2, 2018

Virtually everyone in the retirement plan business concedes that determining the value of an adviser's plan business is challenging. For one, so many variables determine it, noted Pam Popp, president of Lockton Retirement Services. These include...

Consolidation of the defined-contribution market

June 2, 2018

The retirement-plan intermediary space has been "a game of two halves" for many years. Traditional consulting firms have dominated the market for large and mega-size plans, while broker-dealers and registered investment adviser firms have done...

Legg Mason hopes to reverse TDF fortunes with MassMutual deal

May 30, 2018

Legg Mason is making another attempt at breaking into the target-fund market through a partnership with Massachusetts Mutual Life Insurance Co., a move that hints at the challenges asset managers have faced in 401(k) distribution and emerging...

Northwestern University beats Jerry Schlichter 403(b) lawsuit

May 29, 2018

Northwestern University has become the second college to beat back allegations of retirement-plan mismanagement, prevailing in a lawsuit brought by prominent plaintiffs' attorney Jerry Schlichter. The lawsuit, Divane et al v. Northwestern University...

$14 billion hybrid Sheridan Road staying with LPL, launching own RIA

May 25, 2018

Sheridan Road Financial, an advisory firm overseeing roughly $14 billion, has decided to leave Independent Financial Partners, a mega hybrid registered investment adviser, to start up its own RIA. At the same time, Sheridan Road, which has a...

In a first, University of Chicago settles 403(b) lawsuit for $6.5 million

May 24, 2018

The University of Chicago has agreed to settle a retirement-plan lawsuit for $6.5 million, becoming the first of about 20 prominent universities facing allegations over 403(b)-plan mismanagement to take such a step. Plaintiffs filed the lawsuit,...

How 401(k) advisers can increase their fees

May 23, 2018

It seems that the race to the bottom for 401(k) and 403(b) advisory fees will not slow down anytime soon. But some plan advisers have found a way not only to halt the trend, but actually increase fees. The first step advisers can take to maintain...

Supreme Court decision likely to prevent brokers from filing class-action lawsuits

May 22, 2018

A Supreme Court decision handed down yesterday will likely curb brokers' ability to band together in lawsuits against broker-dealers to fight perceived wrongdoing in the workplace. In a 5-4 decision, the Supreme Court on Monday ruled that companies...

When skewed super-OSJ priorities raise red flags for retirement plan advisers

May 21, 2018

Retirement plan-focused financial advisers have always been a natural fit for the super-office of supervisory jurisdiction model. The specialized nature and large scale of their practices mean that super-OSJs that understand the retirement plan...

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