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Fielding Miller: If we're not the fastest growing RIA out there, then I don't know who is.

CAPTRUST is a $220-billion RIA 401(k) roll-up but new $20-billion acquisition may wipe clean target set

The Raleigh, N.C.-based rollup did 26 deals in 10 years and finally the firm's old 'friend-enemy' partner, CapTrust was one of the few needle-movers left to make its last 10% inorganic AUM leap

September 11, 2017 at 9:45 PM

Josh Itzoe: If I’m large plan sponsor but specifically financial services and if I haven’t been sued yet I’m holding my breath.

Schwab employee 401(k) lawsuit taunts Chuck by using Vanguard as Exhibit A

The San Francisco giant is latest to get hit with legal scourge; Ameriprise and Fidelity already shelled out megabucks to settle claims that their retirement funds underperform and charge a lot to do it – but not Vanguard

March 8, 2017 at 6:34 PM

Andy Puzder takes a minimalist approach to the pensions of his workers.

Mum on DOL rule, Labor chief appointee Andy Puzder's 'check-the-box' 401(k) plan at CKE Restaurants speaks volumes

The expensive Mercer-advised pension plan has low participation rates, low balances, no matches and few assets overall

December 13, 2016 at 8:50 PM

Rick Meigs:  We need Schwab in the marketplace and this is a very positive move for Schwab.

RIAs stay the course in holding Schwab to its promise of an RIA-in-charge 401(k) plan with a promising result

Only when RIAs proved they'd only take 'yes' for an answer on open architecture and themselves installed as fiduciaries did their San Francisco-based custodian yield with just a minor Morningstar contingency

November 3, 2015 at 8:07 PM

Jon Stein: No one has done this since Fidelity came into the space.

Betterment jumps headlong into the 401(k) business spurred by a conviction that even Vanguard Group is unfriendly to investors in this arena

The New York robo-advisor is going full stack, competing with Fidelity Investments on everything from recordkeeping to financial advice

September 11, 2015 at 2:22 PM

The forecast for the 401(k) business is bright and foggy.

What exactly is doable for an RIA in the 401(k) business?

Conflicting forces of change have made the question harder to answer but has sweetened the pot

October 15, 2014 at 3:45 AM

Fred Reish: It doesn't look good.

How the future of the 401(k) industry may hinge on the outcome of a lawsuit brought by Fidelity employees against their own company

The legal case is built on a Fidelity-only funds menu but the Boston 401(k) king intends to show these participating employees got a sweet, fair deal that went beyond DOL mandates

October 17, 2013 at 6:12 AM

Stephen Bozeman: There were some problems.

Unfazed by its misfire, BlackRock is taking a second shot at the 401(k) market, this time with a whiter hat

Skeptics abound but the world's largest asset manager aims to fill a mega-void by bringing payout precision of DC plans to the best-guess 401(k) business

October 3, 2013 at 5:15 PM

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

September 16, 2013 at 5:36 AM

Jordan Burgess: This information has been well-received by advisors.

Fidelity Investments puts hard numbers on the disgruntlement of 401(k) plan sponsors -- and launches Z shares with ETF-like prices

Advisors are gaining some ground but the crunch of fees and service on plan purveyors gets worse and worse

August 16, 2013 at 5:32 AM

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

Scott Hanson: We think this is the biggest thing we’ve done.

New RIA with familiar faces gets running start at putting advisors into the 401(k) driver's seat

Two financial entrepreneurs have 50 firms on board; the idea is for Pathway Strategic Advisors to take the fiduciary burden off of advisors who handle 401(k) assets for clients

February 21, 2013 at 5:42 PM

J. Fielding Miller: This has that magic fit.

CAPTRUST wakes up the 401(k) industry by buying $1-billion advisor/recordkeeper that adds the 'magic' to its arsenal

Freedom One's system offers 3(38) fiduciary management that allows the $85-billion Raleigh behemoth a way to take greater control of assets

January 9, 2013 at 5:25 AM

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

February 10, 2012 at 5:26 AM

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