PLANADVISER Weekend Newsdash
Week ending March 22nd, 2019

Happy Friday, readers! There are many aspects of being a financial adviser, but at the core of it all is client service. Collected below is a series of recent articles exploring various challenges and opportunities facing retirement plan advisers as they seek to maintain client satisfaction while pursuing growth and operational excellence. We hope you will share some of what you read with a client or colleague.

Client Service
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 >
Skill in Fiduciary Discretion Discussions Brings Lots of Low-Hanging Fruit
Independent advisory shop founder Joe Gordon talks about winning new plan business from brokers and bank advisers who are “seriously fumbling the discussion with clients about fees and fiduciary change.” Read more >
Clear Ground Rules Essential With 3(38) Fiduciary Clients
Experts share strategies for helping advisers taking on 3(38) fiduciary clients understand how they can set up the right processes and procedures—up front—for dealing with client concerns and questions about the investment menu. Read more >
Client Service Q&A Part Two: Practice Differentiation and a Shifting Employment Landscape
Following up on a broad discussion of market volatility, John Diehl, SVP of strategic markets for Hartford Funds, encourages advisers to consider new means to separate their service offerings from the competition; he also offers a sneak peek at some forthcoming research produced in partnership with the MIT AgeLab.  Read more >
Half of Americans Believe All Advisers Must Act in Their Best Interest
Many do not know if their adviser is technically a broker/dealer or an adviser, Personal Capital learned in a survey. Read more >
MOST POPULAR STORIES
Principal Reveals Eagerly Awaited Wells Fargo Platform Integration Strategy

Principal is incorporating capabilities from the Wells Fargo Institutional Retirement and Trust platform into its own proprietary recordkeeping system, which will serve Principal and transitioning Wells Fargo customers moving forward.

SECURE Act Ensnared in Senate After Flying Through House
Washington insiders say Senator Ted Cruz is probably the biggest roadblock to the SECURE Act being passed in the near-term under unanimous consent; among other issues, he wants the bill to allow people to use tax-advantaged 529 college savings accounts to pay for home school expenses.
Washington Financial Scooped Up By Hub International

With the acquisition of Washington Financial Group, HUB International has made public the first of a series of significant anticipated acquisitions of Global Retirement Partners firms.

2019 PLANADVISER National Conference
Jumbo Imprudence Alleged in H.E. Butt ERISA Challenge

Plaintiffs says defendants failed to properly monitor and control the plan’s expenses, and allowed the plan to become one of the most expensive “jumbo” 401(k) plans in the country.

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

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