Tag: Fiduciary adviser

DISRUPTION: Insider Service and Strategy Talk With PGIM

In an exclusive interview with PLANADVISER, PGIM Head of Institutional Defined Contribution Josh Cohen offers some guidance to advisers speaking with plan sponsors about litigation, fiduciary risk and progressive plan design.

FINRA Rep Monitoring Rule Change Could Trigger RIA Compensation Renegotiation

The regulator is reassessing its requirements for RIAs to monitor the outside business activities of their reps; one experts argues it is likely that, if the final rule reflects the proposed rule, many plan advisers who serve plans through an independent RIA (as opposed to the broker/dealer’s “corporate” RIA) will seek to renegotiate their compensation arrangements relating to their independent RIA revenue.

DISRUPTION: 3(38) Market Leader CAPTRUST Talks Growth Trends

“If the whole DC plan advisory industry could have a do-over from say, 20 years ago, I think there would probably be much more of an emphasis from a lot of different firms on the 3(38) arrangement,” says CAPTRUST CEO Fielding Miller; in an exclusive interview, he describes in detail the firm's success building scale in the 3(38) fiduciary advice market.
Art by James Yang

Value Added

Helping sponsors see the worth of an adviser's fiduciary services
Art by Alessandro Gottardo

The Next Step

Adviser choices on participant-level fiduciary recommendations