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Our 2023 PLANADVISER Vision Award Winners
The CFP Board and Kelli Hueler of Hueler Income Solutions are this year’s winners of the PLANADVISER Vision Awards.
Execution Quality Disclosure, Tick-Size SEC Proposals Enjoy Industry Support
Mandatory auctions and Reg BE are considerably less popular.
Compliance Analysis
How to Avoid Fee Conflicts
Wealth managers can look to ERISA and the tax code for guidance.
Cover Story
A Step in a New Direction
Today’s business model may add wealth management and other services—how plan advisers make it work.
On the Move
On the Move
Investment Companies Name New CEOs Five investment companies that serve defined contribution retirement plans have announced CEO changes. Russell Investments Group LLC, an investment and outsourced chief investment officer...
Prime Time for Diversifying with Municipal Bonds, According to Capital Group
Munis provide a good recession buffer in the current market, experts say.
Latest Decision in Hughes v. Northwestern Opens Door to More ERISA Litigation
In reviewing a 2022 case remanded by the Supreme Court, the 7th Circuit Court of Appeals allowed two of the plaintiffs’ three claims to continue at the District...
Wilmington Trust Focused on CIT Education Push
Retirement services head Rob Barnett say advisers, plan sponsors and Congress all need a better understanding of the DC investment option.
DOL Takes On Lawsuit Challenging Its ESG Rule
The Department of Labor argued the ESG rule merely permits ESG considerations and is consistent with ERISA.
Pensionmark Appoints New M&A Head to Push Growth
Former Envestnet M&A lead joins Pensionmark about one year after the firm was acquired by World Insurance with goal of adding advisers.
Latino-Owned Businesses May Be Poised for 401(k) Plan Growth
As state mandates for small businesses take hold, industry players see opportunity in reaching the underserved Latino population.
Retirement Industry People Moves
Asset Management hires emerging markets head; FuturePlan appoints divisional VP; KKR names chief investment strategist; and more.
Proposed SEC Cybersecurity Rule Requires Prompt Notice to Prevent Contagion
The SEC reopened the comment period on its cybersecurity rule last week, in part so advisers can take more time to consider its interactions with other rules.
2023 PLANADVISER Vision Awards
PLANADVISER announced winners of its Vision Awards, to be recognized at the 2023 PLANADVISER Industry Leader Awards celebration on May 10, 2023, in New York City.
Survey: Financial Advisers Not Optimistic About Future of ESG Investing
Political tensions around ESG, furthered this week with a presidential candidate running in part on anti-ESG sentiment, are turning off advisers to the investing trend, according to recent...
Legal Complaint Says DOL’s ESG Rule “Jeopardizes” Retirement Savers
A second lawsuit in less than a month has been brought challenging the legality of the DOL’s rule concerning ESG in retirement plans.
Retirement Industry People Moves
DCIIA votes in 2023 committee members; Aon adds personnel to pooled employer plan sales group; TIAA adds wealth distribution head; and more.
Federal Judge Nixes DOL Rollover Guidance Interpretation
A U.S. District Court judge ruled that Department of Labor guidance violated the Administrative Procedure Act.
Retirement Industry People Moves
Lincoln Financial Group names Vince Garzarella VP; Northern Trust Asset Management names new presidents; Empower promotes Noble to general counsel; and more.
Investment Product and Service Launches
AllianzIM launches 2 buffered ETFs that hedge S&P 500 exposure; Capital Group releases 12 active-passive model portfolios; eMoney Advisor releases tax planning for advisers to show Roth conversions;...