PLANADVISER July/August 2019

An Array of Models

Some advisers find opportunities through aggregation or affilliation
Alison Cooke Mintzer (photo by Chris Ramirez)

Drawing Attention

Celebrating the good works of advisers who give back to their communities

The Path Forward

The various models advisers can adapt to grow their practice

The Word About Newsletters

They are a great way to stay in touch with participants, particularly for advisers to large plans

TDFs Help Boost Balances

The key is their diversification and participants' tendency to remain invested

Legislative and Judicial Actions

FINRA Share-Class Sweep Highlights Importance of CooperationThe Financial Industry Regulatory Authority (FINRA) announced the final results of its mutual fund waiver initiative—the agency’s aggressive multiyear effort to ensure member...

Inspirational Financial Wellness

To succeed, these programs must prompt workers to take actionTo truly help participants, financial wellness programs need to advance beyond mere education. They must truly motivate participants to take...

Talking Points

Worry Forecast What advisers predict will be clients’ 3 greatest worries for the next 12 months, and what clients say those actually are: Source: Nationwide Advisory Solutions, “Advisor Authority...

The Value of Data

By threading data through an AI interface, recordkeepers create a custom participant experience

Advancing Advice for All

Managed account services can benefit plan sponsors, participants and advisers
Art by Tim Bower

Venue Clauses

Supreme Court won't opinei on the provisions' enforceability