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Articles tagged "401khelpcenter"


J. Fielding Miller: We were talking a big game, and he wanted to see results.

How uncomfortable questions from prospects led a 'small' $12-billion 401(k) advisory RIA to finally say yes after eight years of rebuking overtures from a $120-billion AUA RIA
With the purchase of DCAdvisors, CAPTRUST emerges as a bigfoot player in a consolidation-bound industry

Tuesday 9.16.14
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
Mike Alfred: Fidelity's gone from being generous to being assured of being generous.

How exactly Fidelity Investments extracted itself from a legal and HR quagmire and why it'll cost far more than the public $12-million amount
The settlement's small print reveals Fidelity employee may receive additional hundreds of millions of dollars in value over time

Thursday 8.14.14
Tim Clark: Half of my new business has been from engaging firms that didn't previously have an advisor -- they literally had nothing.

With plan sponsors 'running blind' on 401k plans, an RIA jumps from $12 billion to $32 billion of AUA and adds a former J.P. Morgan chief
Lockton Retirement Services locks in on 'small' businesses that have no DOL-assuaging fiduciary overseeing DC assets before they walk through the door

Wednesday 7.2.14
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
Phyllis Borzi: We're troubled by this and employers are having a hard time finding the documents they're looking for.

Phyllis Borzi tightens the noose on 401(k) providers that flout DOL disclosure, not without critics
The idea is to have a de facto big red arrow pointing to key disclosures on revenue sharing but it'll add to the verbiage surplus

Tuesday 3.11.14
Dan Solin: I think the forces aligned against evidence-based investing are far more powerful than anyone can really appreciate.

The 401(k) industry braces itself for fruits of a CalPERS rethink that reflects a cut-the-crap mentality about active investing
A giant staff of researchers and managers -- not always in accord -- manages $260 billion of assets exerts psychological weight, and active management is losing friends in a place where it once thrived

Thursday 9.12.13
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
Jennifer Ingham: The B-D relationship is needed because in the RIA world of investments for corporate retirement plans. many funds still pay some sort of revenue sharing.

Why a $1-billion Fidelity RIA is placing LPL at the heart of its 401(k) business
Ingham Retirement dropped Sentinel Securities for LPL and is also becoming a retirement plan vendor to many LPL reps

Wednesday 5.22.13
Phyllis Borzi: We thought we hadn't done enough.

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
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: 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
Terrence Morgan: 401(k) plan sponsors are finally ... discovering ... that all their friendly stockbroker could do was hand out enrollment kits and pat their employees on the back.

Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race
DOL guidance is making a difference and so is bank and wirehouse reluctance to take on fiduciary risk

Thursday 9.27.12
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
 Phil Chiricotti: It's a needless requirement that just can't be met.

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
Jason Roberts: The broker wants to make sure the advisor isn't taking the clients to lunch.

Why brokers from Nationwide, LPL, Merrill Lynch and others are giving RIAs a cut of their 401(k) action
RIAs and brokers alike are wary of the fox-in-hen-house effect but DOL is creating strange bedfellows

Tuesday 5.29.12
Susan John: It appears we may be on the same page for once. This is just one of those odd circumstances.

As DOL contemplates stiff fiduciary-related penalties on advisors, NAPFA and FPA find rare concord with FSI
The more RIA-focused groups agree with the IBD trade group that holders of smaller IRA accounts will not be able to pay for advice under new rules

Thursday 3.22.12
Larry Sinsimer says advisors lose out by failing to put a retirement plan in writing.

Fidelity sees potential 401(k) rollover magnet for RIAs: retirement income plans
Clients receiving the extra level of planning refer and consolidate assets to their advisors, study shows

Monday 6.20.11

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