The retirement planning business is a people business.
Tag: Business model
We are confident that PANC 2020 will be the premier event for retirement specialist advisers to meet the right people, hear the best ideas and create new opportunities. Join us at our new venue in Arizona!
Plan advisers and adviser teams looking to be considered for our 2020 Top 100 Retirement Plan Adviser listing must complete the first step in this process by end-of-day Wednesday, September 25.
WhartonHill’s leaders say they will also continue their partnership with both Global Retirement Partners and LPL Financial, “and look forward to expanding that relationship going forward.”
Retirement plan advisers with established 401(k) businesses are finding new revenue streams and client engagement opportunities among nonprofits and educational institutions, and in the area of estate planning.
Who is liable when a brokerage firm staffer knowingly transmits false information at the behest of a superior? A recent Supreme Court ruling offers some answers, while raising some critical questions.
Technology, investment management, and legal and compliance are the top three areas where advisory practices often turn to outside experts, according to Fidelity.
This list includes advisers who reach the top of their respective peer groups in terms of assets under advisement or number of retirement plan clients, including defined contribution, defined benefit and nonqualified plans.
The recently-announced merger between BB&T and SunTrust will create the sixth-largest retail banking organization in the U.S.; both firms also have a presence in the DC plan recordkeeping world, prompting questions about what the deal could mean for retirement plan clients.
During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted the SEC’s increased focus on suitability issues and cybersecurity.
In a Q&A with PLANADVISER, Mirella deRose draws on her experience leading FINRA enforcement in describing what she sees as the most important elements of the regulator’s recently published member priorities list for 2019.
One key M&A trend identified in a new PwC report is the growing prevalence of large asset management and/or private equity entities making minority-stake investments in wealth management firms.