Retirement Industry People Moves – 11/6/2026
Former Edelman CEO is executive chairman of his son’s wealth firm; Osaic appoints head of empowered independence channel; Integrated Private...
News
401(k) Trading in October Muted; Hints of Activity from Sales of Company Stock
Activity was concentrated in a small number of plans, according to Alight.
Careful Choices Can Impact Future Long-Term Care Costs
Experts recommend advisers start long-term planning with clients more than a decade out from retirement.
‘Small’ RIAs Got Larger Under SEC Amendments
The net-asset threshold for small registered investment advisers is now 40 times larger and will be adjusted for inflation every...
EBSA Impersonator Pleads Guilty
A Pittsburgh adviser recommended plans to terminate their advisers and name him as plan administrator.
BlackRock: Participant Education Remains Biggest Hurdle for Retirement Income Adoption
The asset manager says it will take time for participants to fully adopt the annuity component of its target-date series,...
Health Benefits Research Nonprofit Joins EBRI
The Health Enhancement Research Organization and Employee Benefit Research Institute are combining staff, research and benchmarking tools.
Product & Service Launches – 11/5/2026
Forms Logic, Orion partner on adviser transitions; Marsh introduces BrightPath DC plan; State Street launches mutual fund share class of...
NJ Medical System Hit With 403(b) Mismanagement Complaint
Plaintiffs alleged breaches of fiduciary duty with respect to the use of plan forfeitures, the payment of excessive recordkeeper fees...
FINRA’s New Projection Rule Could Expand Use of Retirement Illustrations
The SEC-approved rule aligning broker/dealer and adviser marketing standards could increase projected returns and communications, while raising new compliance concerns.
Advisory M&A News – 11/4/2026
Creative Planning acquires Rockbridge Investment Management; Cornerstone Wealth Management affiliates with Prospera Financial Services; Beacon Pointe Advisors adds ACT Wealth...
Open Enrollment Can Be a Key Engagement Opportunity
Benefits elections give advisers and employers a chance to educate workers about financial wellness programs, retirement plans and other strategies...
Capital Group Asks for SCOTUS Review on Participant’s Standing in 401(k) Lawsuits
Defendants do not think participants should be able to sue on behalf of other participants in defined contribution lawsuits.
Advisory Firms Push Beyond Portfolio Management to Drive Growth
As competition intensifies, advisory firms are finding an edge by expanding their planning services.
Considering Which Parts of Compliance to Outsource
Advisers say having external compliance providers does not eliminate the need for internal fiduciary documentation and compliance signoffs.
Documenting a Provider Change: A Committee’s Playbook
Here is a step-by-step guide for advisers to help investment committees document their processes.
BlackRock: High-Growth Advisers Expand Their Reach Within Existing Relationships
Top-performing retirement plan advisers are more likely to pursue participant wealth opportunities, retirement-income consulting and customized plan solutions, according to...
Keeping Firms’ Social Media and Marketing Compliant
An adviser only spends an average of two hours per week on marketing. Creating compliant marketing materials that attract and...
AI Product & Service Launches – 11/2/2026
WealthFeed adds Form 5500 data to platform; 5 firms integrate Claude into their systems; and Zeplyn launches Zeplyn Workflows.
Retirees More Likely to Stay in DC Plans Providing Flexible Withdrawal Features
Vanguard found that access to advice was among the features leading retirees to keep assets in employer-sponsored retirement plans.