Tag: Selling

Cetera Launches Adviser Loan and Equity Programs

As part of new adviser alignment and engagement initiatives, the firm this week launched an equity value participation program, as well as a loan program aimed at driving “mutually beneficial organic growth.”

PANC 2018: Responding to RFPs

It has become more common for plans with upwards of $20 million in assets to go through a formal RFP process to find a new adviser, but it can be a cumbersome process to respond.

States Start Knitting a Patchwork of Best Interest Fiduciary Regulations

With the judicial defeat of the Obama-era DOL fiduciary rule hanging in the air, individual states are moving to establish their own best interest regulations for the sale and service of investment products; attorneys warn that more piecemeal regulation is likely, as are lawsuits to test some complex ERISA preemption issues.

Getting Serious About TDF Sequence of Returns Risk

The growth in target-date fund usage continues to be incredible; missing is a deeper discussion of sequence of returns risk and other potential challenges for participants associated with this growth.

Competing for Advisers With Tools and Services: Retirement Industry M&A Activity

Pressing industry trends and emerging opportunities are reflected in recent merger and acquisition activity among retirement plan advisers and service providers, and in the efforts of other firms to restructure their basic approach to sales and service; PLANADVISER hears from Fi360, AssetMark, Cetera Financial and others about their visions for the future.

DISRUPTION: AssetMark Executive on Outsourcing and Practice Growth

Matt Matrisian, SVP of strategic initiatives at AssetMark, is passionate about the topic of advisory practice management, enough so that he wrote a 300 page book on the subject; chatting off-the-cuff with PLANADVISER, he argues outsourcing is the way of the future.

NAFA Drops Its Fiduciary Rule Challenge in DC Circuit

Following a broadly structured decision by the 5th U.S. Circuit Court of Appeals to vacate the DOL fiduciary rule expansion, the National Association for Fixed Annuities decided its own appellate challenge has been made unnecessary.

CFP Board Sees Expanding Role for Digital Advisers

Looking to 2018 and beyond, traditional advisers, brokerage firms and banks are widely (and aggressively) seeking to integrate digital advice into their service offerings; the CFP Board Center for Financial Planning offers a digital advice road map to help make sense of it all.