PLANADVISER Weekend Newsdash
Week ending April 15th, 2016
NOTE FROM THE EDITOR
Happy Friday, PLANADVISER readers! In this weekend’s mailing we highlight the 2016 PLANSPONSOR Retirement Plan Advisers of the Year. The finalists and winners demonstrate an unfailing commitment to helping plan sponsors and participants boost outcomes where it matters most. Explore the profiles for insights and strategies on building a high-performing advisory practice. On a related note, readers are encouraged to attend an adviser-focused webcast next week on reaction to the DOL fiduciary rule, sponsored by Voya.
Editor's choice
Retirement Plan Adviser Individual of the Year
A 20-year veteran of the retirement planning industry, Jania Stout, managing director of Fiduciary Plan Advisors, started in the industry in recordkeeping and administration at ADP and Fidelity Investments. Wanting to have a greater role in engaging with and offering advice to plan sponsors, eight years ago, Stout became an adviser, and two years ago, she founded her practice in order to “truly help our plan sponsor clients.” Read more >
Retirement Plan Adviser Small Team of the Year
Being proactive and providing customized and personalized solutions for clients is at the heart of the work of The Catanella Institutional Consulting Team of UBS. The team’s mission statement is “to provide our plan sponsor clients with a customized and service-driven model to deliver successful retirement outcomes for their participants, while effectively helping guide them through the ever-changing fiduciary landscape.” Read more >
Retirement Plan Adviser Large Team of the Year
Newport Capital Group believes it is important to thoroughly understand each plan sponsor’s goals for its company, so immediately upon starting with a new client, the practice asks it what issues are most pressing—both for the company and for employees. As the firm puts it, having an “open dialogue during onboarding sessions” is key. Read more >
Retirement Plan Adviser Mega Team of the Year
Underlying all of the work that Alliance Benefit Group Financial Services, Corp., does is an underlying emphasis on what it calls “sustainable retirement”—defined by the company as at least 85% of employees being able to replace 75%, or more, of their income. Read more >
Retirement Plan Adviser of the Year Finalists
The 2016 PLANSPONSOR Retirement Plan Advisers of the Year finalists have demonstrated leadership and a commitment to excellence for their retirement plan sponsor clients and participants. Read more >
Adviser Webcast: Reaction to the DOL Fiduciary Rule
PLANADVISER and Voya Financial will host a series of in-depth webcasts on the final fiduciary rule, published last week by the Department of Labor. The first session in this timely series takes place Wednesday, April 20, at 2 p.m. EST. Follow the link to register. Read more >
MOST POPULAR STORIES
Warn Your Clients: Don’t Abuse Coronavirus Hardship Withdrawals
Though retirement plans can allow individuals to self-certify that they qualify for a penalty-free coronavirus-related distribution, should the IRS discover otherwise during a future audit, a participant can be subject to substantial penalties.
A New World and New Opportunities for Alpha
Pandemic-driven volatility has once again highlighted the relative virtues of active and passive management.
Home Depot ERISA Lawsuit Clears Dismissal Motions

While a court has ruled the plan’s advisers should be carved out of the litigation, the counts against Home Depot fiduciaries will proceed.

AutoZone ERISA Suit Clears Motion to Dismiss

The district court declined to rule on the reasonableness of comparing actively managed funds to passively managed index funds on a motion to dismiss, clearing the way for discovery and potentially a full trial.

Excessive Fee Lawsuit Filed Against Duke Energy

The drumbeat of Employee Retirement Income Security Act (ERISA) excessive fee lawsuits rolls on.

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