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How Jeffrey Concepcion manned up after FINRA and Lincoln Financial troubles to become an LPL giant

	Title	Date Published
	Schwab garners $4 billion in index-only 401(k) assets fast out of the gate Critics applaud the San Francisco broker's early success but wonder whether such a cost-focused approach is really enough	Friday 2.22.13
	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
	The case for Chicago as an epicenter of the RIA world The rise of registered investment advisors here means the city, once viewed as a very secondary financial center to New York and the Bay Area, is coming into its own in a big way	Tuesday 12.11.12
	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
	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
	What led to Vanguard allowing its 401(k) plan sponsors to shop around for non-Vanguard target-date funds Despite the new choices available to plan sponsors, Vanguard believes clients won't stray -- but industry observers are not so sure	Tuesday 6.5.12
	How giant advice provider Financial Engines can sweep the 401(k) field -- or not It has $53.7 billion of assets under its managed account platform, but how the new DOL disclosure rules, competition from Morningstar and Schwab's bet on GuidedChoice play out will be very telling	Tuesday 5.22.12
	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
	The head of a $12 billion RIA spars with UBS and LPL execs on the great fiduciary debate Retirement-plan leaders grapple with different degrees of fiduciary and how best to address advisors and clients	Friday 10.21.11
	Proposed DOL regs expose more advisors to fiduciary liability Language of rules amounts to better ammo for lawyers	Friday 10.22.10

Articles tagged "CFDD"

Schwab garners $4 billion in index-only 401(k) assets fast out of the gate
Critics applaud the San Francisco broker's early success but wonder whether such a cost-focused approach is really enough

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

The case for Chicago as an epicenter of the RIA world
The rise of registered investment advisors here means the city, once viewed as a very secondary financial center to New York and the Bay Area, is coming into its own in a big way

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

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

What led to Vanguard allowing its 401(k) plan sponsors to shop around for non-Vanguard target-date funds
Despite the new choices available to plan sponsors, Vanguard believes clients won't stray -- but industry observers are not so sure

How giant advice provider Financial Engines can sweep the 401(k) field -- or not
It has $53.7 billion of assets under its managed account platform, but how the new DOL disclosure rules, competition from Morningstar and Schwab's bet on GuidedChoice play out will be very telling

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

The head of a $12 billion RIA spars with UBS and LPL execs on the great fiduciary debate
Retirement-plan leaders grapple with different degrees of fiduciary and how best to address advisors and clients

Proposed DOL regs expose more advisors to fiduciary liability
Language of rules amounts to better ammo for lawyers

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