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...
News
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.
Feelings of Financial Instability Persist Across Generations
Research shows 1 in 5 surveyed consumers said their top financial goal for this year was to cover their monthly...
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...
AI Product & Service Launches – 3/30/2026
Jump launches agent for advisers; Merrill and Bank of America introduce meeting tool; Mangrove Technologies rolls out digital asset ecosystem;...
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.
Geopolitics Moves From Tail Risk to Market Driver
Energy shocks, policy intervention and great power competition are driving persistent volatility.
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.
How Retirement Fiduciaries Can Help Health Plan Fiduciaries
Advisers’ deep knowledge of the fiduciary process can aid employers making sense of new disclosures from pharmacy benefit managers.
Schwab Finds Teens Eager to Invest Amid Calls for More Economic Education
According to a recent survey by Charles Schwab, 70% of responding teenagers expressed interest in investing.
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...
Product & Service Launches – 3/26/2026
iCapital partners with Aladdin Wealth, acquires Hexure; Manulife offers access to L&G investment solutions; Vanguard rolls out ETF suite; and...
Corebridge Financial, Equitable Holdings Merge Into $1.5T AUM, AUA Behemoth
The newly formed company will have 12 million customers and is valued at $22 billion.
Increased Scrutiny of Health Plans Leaves Advisers Racing to Keep Up
Congress’ recent appropriations act and proposed Department of Labor guidance both push for greater transparency from pharmacy benefit managers.
Human Interest to Provide Recordkeeping for UBS Financial Advisers
The platform offers direct integrations with more than 500 payroll partners.
Advisory M&A News – 3/25/2026
Moss Adams Wealth Advisors goes independent, rebrands; LPL adds Gibson Financial Group to Linsco; Beacon Pointe Advisors expands with 2...