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Articles tagged "Center for Due Diligence"


Jay Wells: Fees have become a huge concern. I'm talking to more plans about fiduciary insurance.

Warranties and guarantees come to the 401(k) game but can insurance really put the client first?
Unwilling to stomach new legal exposure, employers -- and their advisors -- are looking to buy protection

Wednesday 8.27.14
Bob Reynolds: They reached out and asked if we'd like to buy their proprietary business.

Just what good Bob Reynolds' purchase of J.P. Morgan's billions -- sans sweet brand -- will do for his Great West-Putnam 401(k) empire
The Boston exec was opportunistic in getting this deal and remains open to others but the 'O' word that made Whole Foods famous is holding sway

Friday 4.4.14
Bob Reynolds: We think that two plus two equals six. We want to be the best in this space.

Fidelity's old 401(k) mastermind, Bob Reynolds, gets a merger, a promotion and a stronger hand to compete with his old employer
With Great West and Putnam joining 401(k) units, there may be a dividend of critical mass and synergy

Thursday 3.27.14
Fielding Miller: There are so many schools and non-profits there. The Northeast is our new focus.

A $103 billion AUA RIA storms TIAA-CREF's Northeast stronghold by poaching a hotshot from a $30-billion RIA in Greenwichland
CAPTRUST's 403(b) assets have jumped 60%, or nearly $5 billion, in AUA in one year and TIAA-CREF's $217 billion of 403(b) assets are still pretty untapped

Monday 9.16.13
Louis Harvey: We are seeing naked fear.

Why the 'naked fear' from a Yale law professor's letters to 401(k) plan sponsors is still present
The threatening, finger-pointing nature of the epistles drew the blood, the lack of a remedy to the attack from New Haven keeps the wound from healing

Thursday 8.1.13
Martin Smith: We never considered this investigative in the sense that it wasn't information that was already out there.

Why the industry needs to accept some blame for 'flaws' in PBS Frontline's 'Retirement Gamble'
The PBS report was slanted, simplistic and went in for shock value, say critics, but some in the industry say too-high fees are in fact the root of the problem

Wednesday 5.15.13
Rick Meigs: It seems like a big pot of assets to be walking away from.

Merrill Lynch pulls advisors from a $2.9-billion business -- and leaves the light on for RIAs
The Bank of America subsidiary sees too much peril in the public-pension business and RIAs like John Beirne smell opportunity

Tuesday 2.5.13
Fred Reish: Before, the statement said that you should consider firing the provider but now it's very clear that it's mandated.

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
Terrence Morgan: It wouldn't surprise me if people are stalling and hoping that Phyllis Borzi is fired.

Report of a possible delay in DOL's fee disclosure rule sparks apprehension among advisors and industry observers
Advisors say they can't comply with the rule until they know what's in it but one delay could lead to another

Thursday 1.5.12
Brian Graff:  I didn't think of it as personal attacks.

Blog war breaks out between an RIA and ASPPA members
The tension starts with differing opinions about what represents fiduciary care of 403(b) investors

Tuesday 11.8.11
Kathryn Capage: None of the things I'm seeing are promoting a heavier emphasis on increased contributions in 401(k) plans.

The advisor-to-401(k) business could be set back by Democrats and Republicans
New measures could take away incentives to put money aside and make advisors shy away from the business

Friday 10.21.11
Tom Scalici is one RIA who has gotten $700 million in non-profit assets in recent years up from virtually no assets just three years ago.

After IRS audits hit non-profits, RIAs are positioned to wrest a fortune in 403(b) assets from annuity companies
The money in motion may reach into the hundreds of billions, though gaining an entree has its frustrations

Tuesday 7.26.11
Robert Rickey: Our own experience with both individual and institutional clients has confirmed the growing need to support independent advisors.

TIAA-CREF is creating an RIA-only pre-screened list for referrals
The big 403(b) provider is seeking to help plan sponsors concerned with meeting fiduciary obligations

Friday 6.10.11
Michael Henkel: He is passionate about moving independent advisors into the retirement plan market, but says that for now, advisors lack the tools to succeed there.

Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity
Regulators' so-far soft approach on target date funds leaves door open for advisors to compete

Tuesday 11.30.10
Phil Chiricotti says the rules are the rules when it comes to the 401(k) business

Phil Chiricotti speaks out on broker-sold commissions, RIA fees and heresy
The 401(k) expert says RIAs generally lack the qualifications to work in the retirement assets market -- and may charge too much

Friday 6.18.10

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