PLANADVISER Weekend Newsdash
Week ending November 2nd, 2018

Happy Friday! This weekend’s mailing focuses on the timely topic of practice management. Readers will likely not have to be reminded of the many challenges (and opportunities) facing retirement plan advisers today. Client expectations are shifting, regulatory uncertainty is the norm, and new tools and technologies are emerging every day. Collected below is a broad series of articles and research providing helpful context for understanding this demanding environment, including our latest proprietary report: The 2018 PLANADVISER Retirement Plan Adviser Survey. We hope you will share some of what you read with clients and colleagues.

Practice Management
The 2018 PLANADVISER Retirement Plan Adviser Survey
The 2018 PLANADVISER Retirement Plan Adviser Survey, our 12th such survey, delves into the many factors that advisers consider when selecting investment managers and recordkeeping providers. It also reveals what companies they most like to work with and have found to excel in various subcategories of services. Read more >
Registered Advisers Often Confused by Custody Reporting
Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the asset management industry. Read more >
Open MEPs Could Create Many Opportunities for Advisers
Should Congress or federal regulators eliminate the common nexus and bad apple rules that have held back open multiple employer plans, experts anticipate many more small businesses will jump in. Read more >
DISRUPTION: Time to Consider an OCIO for DC Plans?
GSAM Head of OCIO Greg Calnon says his firm is increasingly focused on supporting defined contribution plan sponsors; while pension plans are still the majority of clients, the outlook is evolving fast. Read more >
PANC 2018: Transformation in the Small Business Market
Significant transformation is happening in the small business retirement plan market; what does this mean for the fiduciary adviser community? Read more >
Closer Client Relationships Drive Greater Growth and Satisfaction
According to FPA, financial planners who engage in “know your client” behaviors gain deeper personal fulfillment from many more of their client relationships. Read more >
MOST POPULAR STORIES
House Subcommittee Witnesses Bash SEC’s Regulation Best Interest

Out of five witnesses called before the House Subcommittee on Investor Protection, Entrepreneurship and Capital markets, just one spoke favorably about the SEC’s conflict of interest regulations—and his support was conditioned on the SEC taking further action in this area.

Consider All Individual Circumstances Before Suggesting 4% Retirement Income Withdrawal
An individual's investment allocation is a big factor to consider when deciding a proper optimal withdrawal rate of savings in retirement, but there are many other factors to consider as well.
2019 PLANSPONSOR Retirement Plan Adviser of the Year Finalists
The 2019 PLANSPONSOR Retirement Plan Adviser of the Year finalists have demonstrated leadership and a commitment to excellence for their retirement plan sponsor clients and participants. Congratulations to all the firms on the list!
Vanguard Launches Consultant Hub for Retirement Plan Consultants

Features of the Consultant Hub include a retirement plan comparison tool and custom investment reporting, among other things.

Will Your Errors and Omissions Insurance Policy Keep You Dry?
Buyer Beware! One experienced matchmaker pairing RIAs with providers of E&O insurance policies likens the space to the Wild West, especially when one looks at the “non-admitted” provider marketplace.

Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com

Advertising: Paul Zampitella paul.zampitella@strategic-i.com

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