Results for "retirement plan advisers"

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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...

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...

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...

What 401(k) advisers can learn from a viral social media post

May 8, 2019

Not too long ago I took my wife out to dinner, something I don't do enough. We went to a local place here in Austin. The overall experience was wonderful. When we got the bill, I noticed something a little unusual at the bottom: A separate fee...

How should advisers treat rollovers from 401(k)s to IRAs?

May 3, 2019

Recommendations that 401(k) participants take distributions from their plans and roll them over to individual retirement accounts are coming under increasing scrutiny. That scrutiny is focused on both the quality of the recommendation, including...

Alexander Acosta is the Night King from 'Game of Thrones'

May 2, 2019

For those of us who love the HBO series "Game of Thrones" — and I'm guessing that's pretty much everyone reading — one question has nagged for the majority of the show's run: Just who is this Night King guy? We know a few things. The signature...

Congress should let innovation fuel lifetime income projections

April 30, 2019

It's great to see Congress and regulatory agencies taking an interest in promoting and encouraging greater access to lifetime income projections in 401(k)s and other retirement plans. That such projections should be mandated as a one-size-fits-all...

Why 401(k) advisers should stress-test client portfolios

April 29, 2019

Managing risk and return is a central responsibility of every investment fiduciary. Asset allocation and securities selection are the blunt instruments used to shape the contours of a portfolio's risk and return profile. The process of building...

Fidelity sales tactics called out in settlement of retirement plan lawsuit

April 23, 2019

The marketing and sales tactics Fidelity Investments uses with retirement savers were called out in a lawsuit involving alleged retirement-plan mismanagement by Vanderbilt University, bringing into focus the ongoing and seemingly increasing...

The drawback of Richard Thaler's 401(k)-Social Security idea? Social Security itself

April 22, 2019

Nobel laureate Richard Thaler's idea to increase retirees' Social Security payments by using a portion of their 401(k) accounts is drawing criticism from some corners of the financial-advice industry, primarily due to the current less-than-stellar...

Fidelity wants to own the workplace — and beyond

April 12, 2019

Fidelity Investments is taking control of the workplace. Need a retirement plan for employees? Fidelity has that. Want to offer a student loan benefit? Roger that. How about payroll services? You got it. Health savings accounts, charitable giving...

After losing billions in assets, giant hybrid RIA set to open broker-dealer

April 11, 2019

On the verge of opening a new broker-dealer, William Hamm over the past year has seen billions of dollars in assets and hundreds of reps and advisers walk out the door of his firm, Independent Financial Partners, a hybrid RIA. A year ago, InvestmentNews​...

Principal-Wells Fargo retirement deal hints at fee compression

April 11, 2019

The blockbuster deal inked by Principal Financial Group and Wells Fargo & Co. earlier this week provides a glimpse into the economics prevailing in the defined-contribution-plan record-keeping business. Specifically, the deal's $1.2 billion...

401(k) lawsuit over Vanguard fees ends with $23.7 million settlement

April 10, 2019

Health insurer Anthem Inc., sued by employees who claimed its 401(k) retirement plan had excessive fees even though its provider was the Vanguard Group, has settled the case for $23.7 million. The lawsuit was originally filed in December 2015...

Congress, states poised to upend retirement policy

April 8, 2019

Congressional and state politicians are poised to re-engineer the country's retirement system in ways that could have drastic effects on plan advisers and their clients by requiring employers to offer a workplace retirement plan or by instituting...

401(k) advisers may be this type of fiduciary — and not know it

April 8, 2019

Retirement plan advisers often act as investment fiduciaries for 401(k) clients, helping plan sponsors select and monitor funds to offer their employees. However, such actors also have fiduciary responsibility concerning the digital operation...

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