PLANADVISER Weekend Newsdash
Week ending September 30th, 2016
NOTE FROM THE EDITOR
Happy Friday, readers! There can be little doubt that the retirement planning industry has reached a key inflection point. People are living longer, embracing non-traditional career paths, and investing in new ways. Advanced data technology is still only in its infancy, and clients are coming to an entirely new understanding of what is reasonable when it comes to fees and pricing. Our latest research reports offer crucial visibility into the most pressing industry trends for advisers.
Editor's choice
PLANADVISER Recordkeeper Services Guide
Depending on the adviser and the number and types of clients served, keeping up to date, especially about recordkeepers, can be a daunting task. Certain providers concentrate on one particular size client, or a specific plan type or geography, while others have areas of focus and expertise geared toward an individual client. Read more >
PLANADVISER Defined Contribution Investment Only Survey
In the first three years after debuting the PLANADVISER Defined Contribution Investment Only (DCIO) Survey, in 2012, investment managers reported fairly strong increases in assets each year. This trend changed in 2015, however, as the assets of the 38 participating DCIO investment managers remained practically flat, with an increase of just $13.9 billion (0.4%) to end the year with a total of $3.1 trillion in assets. Read more >
PLANADVISER Participant Survey
For most Americans, the road to retirement is a long and often uphill journey. Along the way, future retirees encounter a wide range of partners willing to lend support; employers, advisers, investment and service providers—even the federal government—all seek to provide guardrails that can serve to keep savers on track. Read more >
PLANADVISER Adviser Value Survey
This year, to get a better measure of the role of retirement plan specialist advisers, we also examined how results varied when a plan had an adviser serving either as a 3(38) or 3(21) fiduciary and found marked improvements—particularly with respect to plan design, oversight and evaluation. Read more >
PLANADVISER Micro-Plan Survey
Perhaps one of the most telling findings from the 2015 PLANADVISER Micro Plan Survey is the increase in the number of retirement plans that work with an adviser and have $5 million or less in plan assets. That statistic has risen considerably in the past year to 65.9%, up from 52.0%, indicating that more plan sponsors are aware of their need for guidance and are turning to advisers for help. 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.
ERISA Excessive Fee, Self-Dealing Suit Targets MEP

Pentegra Retirement Services and other plan fiduciaries are accused of failing to make sure fees are reasonable and acting in Pentegra’s, not plan participants', interest.

PANC 2020: Is It Time to Re-evaluate TDFs?

There are a variety of TDF solutions to meet participants needs, so when should a custom solution be considered, and how do advisers evaluate TDFs in an unprecedented year for the markets?

A New World and New Opportunities for Alpha
Pandemic-driven volatility has once again highlighted the relative virtues of active and passive management.
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.

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