Weekday news and analysis for retirement plan advisers

Wednesday, January 17, 2024 Exclusives | Awards | Research | Events

Client Service Morgan Stanley Wealth Management Growth Bolstered by Workplace Unit The firm highlighted workplace offerings as a key pillar of wealth management client growth in its Q4 earnings. News Feed Quick Links Deals & People Practice Management Products Client Service Data & Research Investing Compliance

Financial Adviser Shortage Looms, Cerulli Reports The consultancy finds the number of new advisers has not offset those who have gone in a different direction.

Today’s Most Read 1. Federal Appeal of DOL Fiduciary Rule Ends in Circuit Court 2. A New Age for PEPs 3. TIAA, Vanguard to Offer Target-Date Lifetime Income CIT Series

Crossmark’s Doll Named CEO, Keeping CIO Role Bob Doll, known for his annual market predictions, is adding the CEO and president roles to his position as Mike Kern steps down.

Advisory M&A News – 1/16/24 BlackRock ramps up alts exposure with GIP acquisition; SageView Advisory Group acquires Palmer Retirement Consulting; Financial Advisers launches Avise Financial.

SEC Imposes $18M Fine on JP Morgan for Whistleblower Violations According to the regulator’s order, the company’s securities division required clients to sign non-disclosure agreements barring them from reporting potential wrongdoing to the SEC.

Industry Intel Roundup Featured Webinars PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring webinars sponsored by or featuring experts in the industry. The content was created to supply actionable insights to retirement plan advisers regarding client service and practice management. December 10, 2025 Alternative Investments in DC Plans A Trump executive order has opened the door for alternative investments, such as private equity and cryptocurrency, to be included in defined contribution plan investment menus, and providers have already begun offering solutions. What does the executive order say, exactly? What additional guidance is needed? What about this should advisers be discussing with their clients? Listen as industry experts discuss the potential implications for plan sponsors and participants as well as the mechanics of including alternative investments in DC plans. March 11, 2026 Showcasing Adviser Value Join PLANADVISER as we share results of our 2026 Adviser Value Survey. Sponsors of retirement plans of all types and sizes let us know what they value in their advisers and how advisers meet their needs and those of the plan and participants. Speakers will also discuss strategies for showcasing value to clients and prospects and for pricing services appropriately. June 10, 2026 The Recordkeeping Landscape Changing demographics and advancing technology are shaping recordkeeper service models and platforms. Learn what tools and resources advisers need in a recordkeeping partner and how recordkeepers deliver. Speakers will also discuss elements of optimal adviser/recordkeeper relationships. September 9, 2026 Broadening the Appeal of the Industry A large percentage of financial advisers—including those who work with retirement plans—are older than 50, and close to 40% are expected to retire within the next 10 years, according to research from Cerulli Associates and Commonwealth. To continue serving plan sponsors and participants, the industry must attract fresh, diverse talent across both advisory and support roles. In this webinar, retirement plan advisory firm staff will share what attracted them to the industry and what keeps them there. Speakers will discuss strategies for drawing in new talent and potential talent pipelines. Sponsored by ACI | November 19, 2025 Retirement Realities – What Sponsors May Be Missing What do plan sponsors believe about retirement readiness, and how does that compare to what participants actually feel? During this webinar, Glenn Dial, Senior Retirement Strategist at American Century Investments, will unpack the findings from the firm’s 12th Annual Retirement Survey. He’ll explore where sponsor and participant perspectives align – and where they diverge – on key issues like savings confidence, market risk, and retirement income expectations. Glenn will also touch on the evolving role of target date funds (TDFs) and how guaranteed income is being viewed in today’s defined contribution landscape. This session is designed to help retirement professionals better understand the sentiment gaps and take action to close them. What You’ll Learn: • Fresh insights from the 2025 Retirement Survey • Key disconnects between plan sponsors and participants • Perspectives on market risk, TDFs, and retirement income • Strategic considerations for plan design and communication Whether you're a plan sponsor, advisor, or industry stakeholder, this webinar will help you rethink how retirement plans can better serve the people they’re built for. For Financial Professional Use Only/Not For Distribution To The Public The information is not intended as a personalized recommendation or fiduciary advice and should not be relied upon for investment, accounting, legal or tax advice. ©2025 American Century Proprietary Holdings, Inc. All rights reserved.

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