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A Look Inside the Minds of RIAs
A new Schwab Advisor Services study explores industry attributes that attract professional financial advisers to the registered investment adviser (RIA) profession.
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ERISA at 40
The transformational law makes waves in the retirement plan industry not anticipated in 1974
servicing strategies
Tools of Engagement
The technology advisers increasingly use to involve participants
PANC 2014: Plan Sponsor and Participant Education
For industry executives on one panel at the 2014 PLANADVISER National Conference, retirement plan sponsor and participant education is a three-part effort.
PANC 2014: Washington Update
There is an extensive amount of regulatory rulemaking going on in Washington that could impact retirement plans in the months and years ahead, and major tax reform proposals...
PANC 2014: Risks and Retirement
Plan advisers have a great deal more work to do on ensuring participant retirement readiness.
Rethinking Risk and Return in Equity Portfolios
Retirement plan participants and other long-term investors should favor low-volatility stocks over riskier equities, according to a new analysis from Research Affiliates LLC.
Software Firm Says It Is Ready to Disrupt DC Industry
Software developer NextCapital Group says it is building digital portfolio management and advice delivery tools that have the potential to reshape the defined contribution (DC) retirement plan industry.
Court Blocks DC Plan Participant Claims Against Madoff Trustee
A federal bankruptcy judge has affirmed the denial of recovery claims from retirement plan participants who indirectly invested in the now-infamous Bernie Madoff Ponzi scheme.
Defining Global Best Practices for Retirement Plans
Workers in most developed economies are struggling to address the financial implications of increased longevity and a lack of guaranteed income in retirement.
From Participation to Engagement
Retirement plan participants who receive regular advice from a financial professional are more aggressive and engaged when it comes to pursuing individualized savings targets, a new study shows.
Hybrid RIA Opens for Business
Triad Hybrid Solutions, a registered investment advisory firm (RIA) newly created by Triad Advisors, serves fee- and commission-based independent financial advisers.
Editor’s Letter
Staying True to “The Three F’s”
When I speak with advisers and others in the industry about the value retirement plan advisers bring to their clients, in the last few years the conversation has...
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The ‘At Retirement’ Conversation
How retirement plan advisers can address participant questions
investment-oriented
The Alternatives Route
Where alternative investments have made inroads in DC plans
Financial Engines Accused of Patent Infringement
GRQ Investment Management alleges in a new lawsuit that Financial Engines, Inc. and its subsidiary advisory firm, violated two patents related to digital investment advice and managed accounts.
Automatic Features Can Break Short-Termism
Automatic enrollment and deferral escalation features are quickly becoming the top tools for advancing retirement plan participant savings under the defined contribution paradigm, according to Cerulli Associates.
Southwest and Summit Adopt Matrix B/D Platform
Matrix Financial Solutions, Inc. announced that Southwest Securities and Summit Brokerage Services have implemented its broker/dealer platform.
It Is Difficult to Factor Social Security into Retirement Planning
The complexity of Social Security benefit formulas and insecurity about the program’s solvency make it difficult for individuals to factor it into their retirement income planning.