Results for "retirement plan advisers"

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Market downturn could accelerate 401(k) record-keeper consolidation

January 2, 2019

Plan advisers would be wise to watch the 401(k) record-keeper market closely as it enters its next phase of consolidation, which may begin soon. As plan advisers look to cut back on the number of their provider partners, picking on the wrong...

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

December 19, 2018

A bill introduced in the Senate would allow employers to pair workers' student loan payments with 401(k) savings. Ron Wyden, D-Ore., the ranking member on the Senate Finance Committee, sponsored legislation on Tuesday that would give plan sponsors...

How advisers can help 401(k) plans manage the risk of missing participants

December 18, 2018

The Department of Labor is aggressively investigating plan sponsors and asserting fiduciary breaches for failure to perform rigorous and ongoing searches for missing participants. Advisers who work with retirement plans should be educating plan...

Lack of investment options plague HSAs

December 17, 2018

Health savings accounts are getting more popular and some retirement plan advisers, hoping to capitalize on the trend, are integrating them into a service offering for 401(k) clients. But there are a few stumbling blocks. One big hurdle: a dearth...

Oregon will help other states launch own auto-IRA programs

December 17, 2018

Oregon, which recently launched a statewide program to ensure all private-sector workers have access to an employer-based retirement plan, will partner with other states that want to adopt a similar framework, with the aim of easing the launch...

Edward Jones settles 401(k) lawsuit for $3.2 million

December 13, 2018

Edward Jones will pay $3.2 million to settle a lawsuit alleging the firm enriched itself at the expense of employees through mismanagement of its company 401(k) plan. The lawsuit, which was filed in August 2016, claimed the brokerage firm stacked...

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...

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...

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...

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....

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...

5 steps to an effective financial wellness program

December 1, 2018

Typical Americans get the vast majority of their financial needs taken care of at work. Think about it. They get their income, health, dental, vision, life and disability insurances; health savings accounts; medical and dependent-care flex plans;...

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...

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...

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...

Waddell & Reed settles 401(k) lawsuit for $4.9 million

November 21, 2018

Waddell & Reed Financial Inc. is settling a lawsuit that alleges it loaded its company 401(k) plan with costly in-house investments by agreeing to pay nearly $5 million. The class-action lawsuit claimed the asset manager breached its fiduciary...

HUB International in talks to buy Sheridan Road, a $14 billion hybrid retirement plan group

November 16, 2018

Sheridan Road Financial, an advisory firm overseeing about $14 billion in retirement plan assets, is in talks to be acquired by insurance brokerage Hub International, according to two sources with knowledge of the discussions. The deal hasn't...

Vanguard rolls out HSAs for 401(k) participants

November 15, 2018

Vanguard Group will start offering health savings accounts to its defined-contribution-plan clients, the retirement-plan record keeper and asset manager announced Thursday, capitalizing on the increased popularity of HSAs. Vanguard, the largest...

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