PLANADVISER March/april 2022

Greater Expectations

Many advisers have work to do, to help their clients help their workers attain retirement readiness.

Legislative and Judicial Actions

The DOL seeks comments about protecting plan assets from climate-related risk; a proposed SEC rule would intensify registered investment adviser firms’ cybersecurity efforts; the DOL advises caution for plan sponsors considering a cryptocurrency option; and more.

Finding Safety From Fee Pressures

As competition continues to grow and clients expect more services for their fees, enterprising advisers focus on both protecting existing revenue sources and adding new revenue streams.

Talking Points

A Cents-ible ApproachPenny-framing can be used effectively to ease savings decisions for participants. For example, a 7% saving rate would be expressed as saving “7 pennies” from every dollar...

On the Move

➜ PGIM, the global investment management business of Prudential Financial Inc., appointed Eugenia Unanyants-Jackson to the newly created role of global head of environmental, social and governance➜ PGIM also appointed Michael...

Staying Power

How some advisers are ensuring their team carries on strong when they leave.

Multiple Successors

By joining CAPTRUST, in 2009, Mark Davis, senior vice president, financial adviser, gained the ability to select his successors from the large acquirer’s adviser pool.

Competition and Succession

Jim O’Shaughnessy discusses the challenges of succession planning and the process of merging his and his partner’s Sheridan Road practice into the larger Hub enterprise.

Family First

\When Dorann Cafaro retired, her daughter, Jamie ­Greenleaf, became principal and president of what is now Cafaro Greenleaf. While the business model is the same, the firm has branched out.

A Digital Divide

Like recordkeepers, advisers increasingly connect directly with participants via proprietary platforms.


Retirement plan specialists are acquiring wealth management firms.

Is It Time to Let Go?

Working with unprofitable clients can be a challenge.

Another Retention Tool

Nonqualified deferred compensation plans can help build clientele.

The Evolving Use of RFPs

The volume has increased, as has what advisers must do to make the finals.