Publisher’s Note
Data Points
On Our 15th Year
Our mission to help you—and us, too—better understand the issues you face, and give you strategies to help resolve them, continues.
A Balanced Fund or a TDF?
Weighing their relative merits is an important task for advisers and clients.
Compliance News
Trends
Legislative and Judicial Actions
The SEC returns to cybersecurity enforcement pledge; Form 5500 revisions; revenue-sharing disclosure failures result in SEC action; and more.
Elder Financial Abuse
What advisers can do to protect aging clients.
Trends
How Green Is My Bond Fund?
Are some investments being painted as more ‘sustainable’ than they are?
Trends
Trends
Trends
Trends
The Bond ‘Misclassification’ Debate
Accusations about overblown bond ratings, by Morningstar, still need to be proved, advisers say. But, if true, this could affect investor capital flows and the amount of risk that bond investors take.
Before Adding ESG Investments
How advisers can help employers make their lineup more sustainable.
Talking Points
Plain Speak Advisers might keep in mind that when asked to choose the term that fits each definition given below, this is what plan participants said: Adviser Firms Record...
On the Move
Transactions, promotions and new hires in the financial advisory industry.
Cover Story
Masterminds of the Plan
How advisers can use RFIs to ensure they match clients with the best providers.
Feature
PLANADVISER’s 2021 Top 100 Retirement Plan Advisers
Noteworthy retirement plan specialists, based on number of plans and total assets under advisement.
Managing Relationships | Participants
How to Optimize Connections
If you want to cross-sell to participants, first sit down with the sponsor and sort out the rules.
Managing Relationships | Strategic Partnerships
Building Strategic Partnerships
What advisers should look for in a potential referral source.
Managing Relationships | Financial Wellness
Different Strokes
Great wellness strategies require much analysis on the part of advisers and clients.
Managing Relationships | Plan Management
Defining Roles
How to take the lead in adviser/recordkeeper relationships.
Compliance Consult
Provider Recommendations
Does relying on certain ‘go-to’ providers have implications under ERISA?
ERISA vista
Cybersecurity Considerations
How to select and monitor recordkeepers.
Managing Provider Relationships | Q&A
Kathleen Kelly
On Marsh McLennan acquiring Compass Financial Partners.