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Articles tagged "CFDD"


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Bob Reynolds: In this business especially it's a game of scale.
April 3, 2014 at 5:37 PM

Kevin Chisholm: I don't think you can have the conversation about cost without talking about asset allocation and, ultimately, performance.

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

February 22, 2013 at 5:58 AM

Schwab held IMPACT in Chicago this year but really the city was already very much on the RIA map.

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

December 11, 2012 at 6:05 AM

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

October 25, 2012 at 4:12 AM

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

October 23, 2012 at 3:33 AM

David Witz: It could be fireworks for the RIA community or just another compliance fizzle.

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

August 28, 2012 at 3:33 AM

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

August 1, 2012 at 6:10 AM

Rick Meigs: These plans are knowledgeable, well-informed and have sufficient leverage to compel change.

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

June 5, 2012 at 5:29 AM

Anne Tuttle:  We’re happy to see more information provided to sponsors.

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

May 22, 2012 at 3:41 AM

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

November 8, 2011 at 5:53 AM

Randy Long: I'll be calling all of their clients.

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

October 21, 2011 at 2:18 PM

Phyllis Borzi: If it gets rid of schlocky advice, that’s okay with me.

Proposed DOL regs expose more advisors to fiduciary liability

Language of rules amounts to better ammo for lawyers

October 22, 2010 at 6:17 AM

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