Product & Service Launches – 4/2/2026
Capitalize launches 401(k) rollover platform; FNZ introduces premium service model; RiskDNA launches AI-native risk intelligence platform; and more.
Vestmark Names Chief AI Officer
The services provider’s chief technology officer is taking on an extra title to lead an effort to embed artificial intelligence...
Capital Group to Add Adviser Support in NY, LA Hubs
The active manager intends to fill about 130 support roles over the next two years.
DOL Proposed Alts Rule Could Fuel Future ERISA Cases
The Department of Labor may help fiduciaries with its scenarios and test cases on including alternative investments in defined contribution plans,...
Adviser 401(k) Compensation Continues to Decline
The latest ‘401(k) Averages Book’ found all sizes of 401(k) plans had continued fee compression, including reduced adviser payments, investment...
Defaulted Federal Student Loans Now Managed by US Treasury, Education Department
The total student loan portfolio is nearly $1.7 trillion and almost one-quarter of borrowers have defaulted.
Carlyle to Acquire Majority Stake in MAI Capital
The transaction values the registered investment adviser at more than $2.8 billion, and MAI employees will continue to hold a minority equity ownership.
4 Common Financial Weaknesses Can Undermine Retirement Readiness
A lack of emergency savings was the most common vulnerability of retirement savers, according to a report by Georgetown’s Center...
DOL Releases ‘Safe Harbor’ Regulation for Alts in DC Plans
The much-anticipated safe harbor aims to reduce ‘regulatory burdens and litigation risk’ for the inclusion of private assets in defined...
January, February Active Months for RIA M&A
Merger-and-acquisition activity is keeping pace with the last couple years, but buyers and sellers are showing they are selective.
Retirement Industry People Moves – 3/27/2026
Finseca elects Prudential’s Moira Buckley as secretary, future board chair; GW&K names 3 new partners; Voya hires Bill Whittington to...
US Retirement Assets Rose 11% in 2025, per ICI
Nearly 40% of US retirement assets last year were in individual retirement accounts.
Federal Judge Allows 401(k) Class Action Suit Against Southwest Airlines
Plaintiffs say the 401(k) plan invested in a large-cap growth strategy fund that lagged its benchmark and peer funds for...
FINRA Had Fewer Cases, More Settlement Money in 2025
Without one outsized fine, FINRA’s total fines in 2025 would have been 15% lower than the previous year, according to...
Human Interest to Provide Recordkeeping for UBS Financial Advisers
The platform offers direct integrations with more than 500 payroll partners.
DOL Alternative Assets Rule Passes White House Review
The Department of Labor can finalize the rule after a public comment period lasting 30 or 60 days.
Lagging Security, Excessive AI Access Prevalent in 2 Cybersecurity Surveys
Kroll learned that 80% of respondents increased budgets dedicated to cybersecurity, but nearly three-quarters acknowledged gaps in their strategy.
Future Taxes, Market Volatility Heighten Retirement Savers’ Concerns
Gen X respondents saw the biggest increase of economic worries during the first quarter, according to an Allianz study.
Fink: ‘Diversification’ Could Fund Social Security
BlackRock CEO Larry Fink said adding diverse investment accounts could help the program profit from artificial-intelligence-driven gains in the stock...
CFP Board Weighs Keeping College Degree as Certification Requirement
Public comments will be sought once a recommendation is made; no decision is expected in 2026.