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How to Live Well in Retirement
Advisers should heed near-retirees’ post-pandemic values and goals.
Trends
Career Mentor or Advocate?
Underrepresented groups are advancing in financial services, but what helps the most is having a workplace advocate—someone to champion their abilities when they’re not in the room.
growing your practice | referrals
Building Out Referral Networks
How should you ask your centers of influence for recommendations?
growing your practice | succession
Look Toward the Future
The pandemic has brought adviser succession planning to the fore.
growing your practice | sales champ
‘Like’ Me
How to procure, and use, client endorsements to advertise your practice.
Suit Over Recordkeeping Fees for PNC Financial’s Retirement Plan Dismissed
A court found that the plaintiffs did not state a plausible claim for breach of fiduciary duties. They have already filed an amended complaint.
Retirement Industry People Moves
QPA hires managed account services director; Lightyear selects new senior adviser; NFP Acquires FBG; and more.
Baptist Health South Florida Faces ERISA Excessive Fee Suit
The claims are typical of excessive fee suits, but the plaintiffs also cite language from the 403(b) plan's investment policy statement and say plan fiduciaries didn't follow it.
Snappy Kraken Launches ‘Convos’ Texting Service
The new solution puts instant text-based communications at an adviser’s fingertips through a desktop application.
A Timely Discussion With the CFP Board
Kim Hayes, who serves as a director for the CFP Board, talked with PLANADVISER about adviser industry turnover, the need to improve diversity and the opportunities afforded by...
Investment Product and Service Launches
Titan launches cryptocurrency portfolio; American Equity Investment Life Insurance introduces EstateShield index; Natixis Investment Managers combines businesses to single division; and more.
Complex Ruling Issued in Valeant Pharma-Linked ERISA Suit
The plaintiffs are employees and retirement plan participants at DST Systems who argue the defendants pursued ‘an exceptionally imprudent investment strategy’ with respect to a significant portion of...
Antitrust Issues Scuttled Aon-WTW Combo. What Comes Next?
Regulators cited the elimination of competition in filing a civil lawsuit to halt the union of Aon and Willis Towers Watson. As significant consolidation occurs across the financial...
Schwab Retirement Plan Services Unveils Custom Financial Planning Tool
Participants receive personalized checklists and can check on their guide periodically to track progress against goals and update their information.
2nd Circuit Sends Elements of NYU ERISA Suit Back to District Court
The appellate court agreed with the plaintiffs that the lower court erred in dismissing share class-related claims and in denying them leave to amend the suit to add...
Juniper Networks Is Latest ERISA Lawsuit Target
The claims included in the complaint, which in some respects directly contradict arguments made by other plaintiffs in related fiduciary breach cases, underscore just how many potential avenues...