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Articles tagged "401k"


Jacob Adamczyk: Some of them are filled with conflict because they are stuffed full of proprietary funds selected by the fund company -- if the underlying investments can be determined at all.

Why I use target date funds for some 401(k) clients in my RIA but with exaggerated scrutiny and care
The set-and-forget products have enormous potential for good but may also be a fiduciary nightmare

Friday 3.21.14
Steve Anderson: None of the consultants are utilizing our business model.

Schwab fesses up to Wall Street just how hard winning plan sponsors to its 401(k) ETF platform will be
Convincing plan sponsors and pension consultants to join a ETF paradigm shift to ETFs is a big ask, its executives tell Wall Street

Tuesday 2.18.14
Scott Pritchard: Wall Street lawyers had plenty of time between 2007 and last July to create slight-of-hand ways to "disclose" these fees without providing meaningful transparency.

Why 408(b)(2) is a flop for the 401(k) business and how RIAs can turn it around
The disclosure requirement sat around so long that workarounds got developed and employers got comfortable in the boiling water

Wednesday 4.10.13
Randy Long: Being willing to serve in a fiduciary role has had a major impact in the growth of the firm.

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
Readers most 'liked' a May story that featured an enigmatically unpeopled office (think IPO cash) and some old fashioned gumshoe reportage.

RIABiz' 10 most-read stories of 2012: What fascinated you and why
Facebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts

Wednesday 12.26.12
Dorann Cafaro: We should be worried.

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
Fred Reish: The object isn’t to punish people who really wanted to do the right thing.

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
Tom Gonnella: It makes no sense to place the burden on individuals to figure out how much their nest egg is costing them.

Obfuscation Nation: 401(k) fee disclosure laws still don't give the true cost of plans and may well cause more agita for would-be retirees
The new DOL rules are far from ideal but may give fee-based advisors an edge in the small-plan market

Tuesday 8.28.12
Ron Rhoades: I’ve put a big target on my back.

Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall
The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'

Monday 8.27.12
Phil Chiricotti: The DOL went off the reservation...They backed off and damaged their credibility.

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
 Kelly Rodriques: Even if an asset is currently worthless, advisors still need to transfer that asset to a successor custodian.

The 30-day alternative assets challenge: Finding the right successor custodian
Deftly remediating alternative assets held in retirement accounts can strengthen the client-advisor bond and avoid a dreaded 'taxable event'

Friday 7.27.12
Lou Harvey: The rules on the participant side are a joke.

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

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In wake of high frequency trading hoopla, Fidelity Investments is designing 'Sakura' to secure better trades for its 'shareholders'


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