Practice Management

Despite a challenging 2008, independent advisers surveyed in an SEI Quick Poll are positive about success in the coming year.

As 403(b) plan sponsors and advisers have prepared for new Internal Revenue Services regulations in effect as of January 1, no doubt communications with participants about the new...

Both Merrill Lynch and Smith Barney have trimmed their payout amounts for lower producers.

As of mid-October, only about 20% of high net worth investors (HNW) had contacted their current investment adviser for advice about the financial crisis, new research says.

Retirement plan advisers, like the adviser industry as a whole, will be driven by regulatory trends and see a move toward fee-based compensation, according to TowerGroup.

A study released by Pershing Advisor Solutions LLC found that challenges and priorities have changed for RIA firms in the last two years.

The Seven Habits of Highly Ineffective Retirement Plan Advisers

Capturing high-net-worth (HNW) clients is increasingly focused around a holistic financial outlook rather than generating good investment performance, according to the latest edition of 'The Cerulli Edge—U.S. Asset...

Some 43% of U.S. respondents to an employer survey by the International Foundation of Employee Benefit Plans (IFEABS) said they offer financial education/literacy programs for their workers.

Similar to the protests in New York, teachers in Newport News, Virginia, are pushing back against their administration's efforts to limit their choice of 403(b) plan vendors.

Participants in defined contribution plans might benefit from re-enrolling into a qualified default investment alternative (QDIA), according to a Vanguard study.

The Utica Teachers Union opposes a decision to limit the district employees’ choice of a financial adviser.

In another week (or so), PLANSPONSOR will publish its annual Defined Contribution Survey.

Wirehouse advisers seem to like the idea of going independent—but few actually do it.

Advisers could take note that members of Generation Y might like to make their own investment decisions, but they are also interested in more sources of financial information...