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Mariner Wealth Advisors
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Between sessions at INSITE, Pershing execs describe how they'll spell victory in their grand custody merger -- and what stands in the way

	Title	Date Published
	Borzi: Exemptions from conflict of interest will be part of new fiduciary proposal An easing of the ban against advisors accepting payment from money managers for selling their products may be in the works	Tuesday 5.7.13
	New RIA with familiar faces gets running start at putting advisors into the 401(k) driver's seat Two financial entrepreneurs have 50 firms on board; the idea is for Pathway Strategic Advisors to take the fiduciary burden off of advisors who handle 401(k) assets for clients	Thursday 2.21.13
	10 most influential individuals in the 401(k) industry affecting RIAs in 2012, Part 1 Cataclysmic changes are in store RIAs advising retirement plans -- here's who's building up and advocating for this vital sector	Thursday 1.3.13
	What a wave of 401(k) lawsuits tell us about what RIAs really need to worry about Plaintiff's attorneys have found the soft underbelly of advisors and plan sponsors, but the pitfalls are clear and avoidable	Thursday 10.25.12
	Big chill: Worried RIAs and other 401(k) leaders gather in Chicago in hopes of saving the goose It's no sacred cow like Social Security and the industry image is laboring because saving rates, returns, hidden fees and enrollment levels are none too great	Tuesday 10.23.12
	Erring 401(k) plan advisors seek do-overs from DOL to ward off potentially crippling fines A proposal from leading ERISA attorneys would let RIAs say mea culpa on misinterpretations and technical fouls in the wake of new fee disclosure rules	Monday 10.22.12
	RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem	Thursday 9.20.12
	With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side	Wednesday 9.19.12
	A 401(k) plan dethroning deferred: The DOL-mandated disclosures may not set any legacy palaces on fire near-term The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception	Tuesday 8.28.12
	What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers	Wednesday 8.1.12
	New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency	Wednesday 6.20.12
	After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers It's the same old problem of mutual fund-paid fees arriving by tunnel and therefore getting a pass in disclosures; DOL no-comments the issue	Monday 6.18.12
	Which three of DOL's new 401(k) rules represent the biggest land mines for financial advisors and plan sponsors Accepting gifts, estimating fees and using asset allocation models all demand treading lightly	Tuesday 2.14.12
	DOL tells employers when they must fire advisors to 401(k) plans The new teeth in the rules went unnoticed by many people amid other changes	Friday 2.10.12

Articles tagged "Fred Reish"

Borzi: Exemptions from conflict of interest will be part of new fiduciary proposal
An easing of the ban against advisors accepting payment from money managers for selling their products may be in the works

New RIA with familiar faces gets running start at putting advisors into the 401(k) driver's seat
Two financial entrepreneurs have 50 firms on board; the idea is for Pathway Strategic Advisors to take the fiduciary burden off of advisors who handle 401(k) assets for clients

10 most influential individuals in the 401(k) industry affecting RIAs in 2012, Part 1
Cataclysmic changes are in store RIAs advising retirement plans -- here's who's building up and advocating for this vital sector

What a wave of 401(k) lawsuits tell us about what RIAs really need to worry about
Plaintiff's attorneys have found the soft underbelly of advisors and plan sponsors, but the pitfalls are clear and avoidable

Big chill: Worried RIAs and other 401(k) leaders gather in Chicago in hopes of saving the goose
It's no sacred cow like Social Security and the industry image is laboring because saving rates, returns, hidden fees and enrollment levels are none too great

Erring 401(k) plan advisors seek do-overs from DOL to ward off potentially crippling fines
A proposal from leading ERISA attorneys would let RIAs say mea culpa on misinterpretations and technical fouls in the wake of new fee disclosure rules

RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue
Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem

With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners
The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side

What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul
The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry
The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency

After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers
It's the same old problem of mutual fund-paid fees arriving by tunnel and therefore getting a pass in disclosures; DOL no-comments the issue

Which three of DOL's new 401(k) rules represent the biggest land mines for financial advisors and plan sponsors
Accepting gifts, estimating fees and using asset allocation models all demand treading lightly

DOL tells employers when they must fire advisors to 401(k) plans
The new teeth in the rules went unnoticed by many people amid other changes

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