Tag: Advice

The Markets

March 13th, 2018

Measuring Managed Account Performance Is Part Art, Part Science

A new analysis out from Empower Retirement finds historical investment performance does not serve as an optimal overall measure of value delivered by a managed account; there is...

Products

March 13th, 2018

Advicent Reveals NaviPlan Updates Tied to Tax Cuts and Jobs Act

Advisers generally are not qualified to represent their clients before the IRS, and so they generally must shy away from offering tax advice; but that doesn’t mean they...

Compliance

March 9th, 2018

Wells Fargo Advisors SEC Filing Hints at Federal Fiduciary Investigation

The firm says it does not have additional information to share at this juncture beyond what has been noted in a 2017 year-end SEC filing; in that newly...

In Practice

March 7th, 2018

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...

Compliance

March 5th, 2018

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...

Client Service

March 2nd, 2018

Financial Advisers Find Success Supporting Military Families

Military members using an adviser report contributing nearly double the amount to their retirement accounts on average compared with those lacking regular financial guidance.

Practice Management

March 1st, 2018

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...

In Practice

March 1st, 2018

Register Now for the 2018 PLANADVISER National Conference

Annually, the top tier of retirement plan advisers from across the U.S., including the PLANADVISER Top 100 and the PLANSPONSOR Retirement Plan Advisers of the Year, gather in...

Data & Research

February 28th, 2018

Tax Reform Prompts Affluent to Seek Out Financial Planners

Fifty-three percent say that working with an adviser could help them meet their goals.

Client Service

February 27th, 2018

DISRUPTION: Transamerica’s New TPA Requirement Denotes Industry Pressures

Our series of exclusive interviews with retirement plan service providers, new and established, continues with Transamerica—which just recently announced a requirement that all new plans coming onto the...

Client Service

February 23rd, 2018

Adviser Opportunities Abound in HSA Market

Devenir finds HSA assets grew to an estimated $45.2 billion, spread across some 22 million accounts, at the end of 2017; as more account owners are investing their...

Practice Management

February 21st, 2018

DISRUPTION: Driving Down Plan Costs a Clear Focus for FixedFee401k

Our series of exclusive articles featuring retirement industry “disruptors” continues with another growing provider in the small- and mid-market, promising 50% lower costs than the traditional competition through...

Client Service

February 21st, 2018

2018 PLANSPONSOR Retirement Plan Adviser of the Year Finalists Announced

PLANADVISER is pleased to announce the finalists for the annual PLANSPONSOR Retirement Plan Adviser of the Year awards.

Compliance

February 16th, 2018

Mass. State Securities Market Enforcers Target Scottrade for Sales Contests

The enforcement arm of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth alleges that Scotttrade violated the Massachusetts Uniform Securities Act and related...

Compliance

February 15th, 2018

Class Certified in ERISA Lawsuit Targeting NYU Retirement Plan

The sizable ERISA suit’s third amended compliant explicitly names as a defendant one of the advisory firms supporting NYU’s retirement plans.

Compliance

February 14th, 2018

Self-Reporting to SEC of 12b-1 Conflicts of Interest Not Without Risk

Offering some preliminary commentary on the SEC’s newly announced adviser 12b-1 fee conflict of interest “amnesty” program, as it’s being referred to in the trade media, Wagner Law...

Client Service

February 13th, 2018

Interest Doesn’t Always Bring Adoption of Robo-Adviser Tech

Since 2015, investors' interest in using digital advice platforms has increased modestly, far outpacing actual adoption, according to Cerulli; for clients of both traditional advisers and robo platforms,...

Compliance

February 13th, 2018

SEC Reveals Share Class Selection Disclosure Initiative

Under the new “SCSD Initiative,” the SEC’s enforcement agents will recommend “standardized, favorable settlement terms” for investment advisers that self-report that they failed to disclose conflicts of interest...

In Practice

February 12th, 2018

Inside View of Sales Strategy and Competition at America’s Best 401K

Josh Robbins, lead strategy officer for the direct-to-sponsor plan provider America’s Best 401K, offers a closer look at the virtues and potential weaknesses of the firm’s “disruptor” model...

The Markets

February 6th, 2018

Careful Consideration of Client Age Groups Behooves Advisers

When working with Millennials, Generation Xers or Baby Boomers, it is crucial for advisers and sponsors to reach them with targeted communications; however, there are also some fundamentals...

Events Spotlight

PLANADVISER 360

November 2– 5, 2025
The Westin Kierland, Scottsdale, AZ
The retirement plan advisory industry continues to evolve, both in business structure and in the services provided to sponsors and participants. Advisers need insights and resources to aid them in keeping themselves and their practices relevant. PLANADVISER 360 is a comprehensive, interactive event that provides just those opportunities, all while bringing advisers to a beautiful resort to golf, enjoy the outdoors, swim and spend time with peers.