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Aon, Astellas Pay to Settle CIT Conflict of Interest Litigation
A 2020 case over the performance of proprietary CITs ends with a settlement.
SEC Safeguarding Rule Would Expand Investment Oversight to Crypto, Artwork
A proposed rule whose comment period ends Monday would have advisers obtain written agreements that segregate client assets to protect them from bankruptcy.
2023 RPAY – Daniel Carlson, Farther Finance
Business at a Glance as of 12/31/22 Plan assets under advisement: $25 million Median plan size (in assets): $12.5 million Plans under administration: 2 (1 401(k) plan and...
2023 RPAY – Ken and Brian Catanella and The Catanella Institutional Consulting Team, UBS
Business at a Glance as of 12/31/22 Plan assets under advisement: $4 billion Median plan size (in assets): $73.6 million Plans under administration: 31 Total participants served: 48,041...
2023 RPAY – Kim Cochrane, HUB International
Business at a Glance as of 12/31/22 Plan assets under advisement: $1.1 billion Median plan size (in assets): $6 million Plans under administration: 198 Total participants served: 17,000...
2023 RPAY – Patrick Fay, HUB Investment Advisors, Inc.
Business at a Glance as of 12/31/22 Plan assets under advisement: $1billion Median plan size (in assets): $5.5 million Plans under administration: 78 Total participants served: 19,000 PLANADVISER:...
2023 RPAY – Bruce Lanser at UBS
Business at a Glance as of 12/31/22 Plan assets under advisement: $1.8 billion Median plan size (in assets): $20.4 million Plans under administration: 15 Total participants served: 12,277...
2023 RPAY – Robert Massa and Qualified Plan Advisors
Business at a Glance as of 12/31/22 Plan assets under advisement: Massa: $2 billion; QPA: $6 billion. Median plan size (in assets): $16 million Plans under administration: Massa:...
2023 RPAY – Leah Sylvester and Shepherd Financial
Business at a Glance as of 12/31/22 Plan assets under advisement: $3 billion Median plan size (in assets): $4.5 million Plans under administration: 254 Total participants served: 51,432...
2023 RPAY – Sean Bjork, Bjork Asset Management, Inc.
Business at a Glance as of 12/31/22 Plan assets under advisement: $491 million Median plan size (in assets): $5.2 million Plans under administration: 31 Total participants served: 7,742...
2023 RPAY – Domenic DiPiero, Newport Capital Group
Business at a Glance as of 12/31/22 Plan assets under advisement: $14.4 billion Median plan size (in assets): $105.2 million Plans under administration: 137 Total participants served: 155,000...
Smart Retirement Launches PEP with Transamerica
The new pooled employer plan has gotten early interest from plan sponsors, according to Smart.
Tax Advantages to Look Out for in HSAs
Experts at the PLANADVISER/PLANSPONSOR 2023 HSA Conference pointed out many similarities between HSA contributions and 401(k) plan contributions.
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.
Retirement Industry People Moves
Asset Management hires emerging markets head; FuturePlan appoints divisional VP; KKR names chief investment strategist; and more.
Biden’s First Veto Keeps DOL’s ESG Rule in Place
The president followed through on his promise to veto a Congressional attempt to nix a DOL rule allowing ESG investing in retirement plans.
Complying With SEC Marketing Rule: Don’t Say What You Can’t Prove
SEC officials and compliance experts say that proving statements of fact should be at the top of advisers’ to-do list under the SEC's new marketing rule.
Retirement Industry People Moves
T. Rowe Price announces Shen as Chief Data Officer; New York Life Appoints Tillotson as Chief Compliance Officer; O'Brien named head of portfolio management at Insight Investment; and...
The PLANADVISER Interview: Anne Lester, TDF Pioneer, Debut Author
The former J.P. Morgan retirement solutions head discusses TDFs, retirement income, and her forthcoming book on financial wellness.
As US Awaits Biden Veto to Keep ESG Rule, Advisers Shrug
Much ink has been spilled over legislation to overturn a DOL rule that allows ESG investing in retirement plans. Plan advisers say that no matter what happens, they...