Articles tagged "401(k)"


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RIA Zen and the art of doing what's prudent -- even if you can't brag about it over beers

James Osborne confesses his guilty desire to make his practice more exciting and why he resists the temptations of adrenaline highs on behalf of clients

September 23, 2016 — 5:43 PM UTC

RIAs stay the course in holding Schwab to its promise of an RIA-in-charge 401(k) plan with a promising result

Only when RIAs proved they'd only take 'yes' for an answer on open architecture and themselves installed as fiduciaries did their San Francisco-based custodian yield with just a minor Morningstar contingency

November 3, 2015 — 8:07 PM UTC

Why I use target date funds for some 401(k) clients in my RIA but with exaggerated scrutiny and care

The set-and-forget products have enormous potential for good but may also be a fiduciary nightmare

March 21, 2014 — 4:29 PM UTC

Schwab 'fesses up to Wall Street just how hard winning plan sponsors to its 401(k) ETF platform will be

Convincing plan sponsors and pension consultants to join a ETF paradigm shift to ETFs is a big ask, its executives tell Wall Street

February 18, 2014 — 4:11 PM UTC

How an LPL-owned 401(k) afterthought zoomed from $6.5 billion to $10 billion with help from reps -- and thinking big

The former NRP duo demurred overtures three years ago from wirehouses and big competitors and now counts Qualcomm, Petco and In-N-Out burger as clients

November 7, 2013 — 5:53 PM UTC

Legal analysis: Why the Yale 401(k) letters, limits aside, should raise an alarm to plan sponsors

Ayres may not have it all letter perfect but his basic points have a legal basis

August 19, 2013 — 5:27 AM UTC

Why keeping FINRA from ruling RIAs is critical to these firms, the investor -- and even the U.S. economy

In Part 1 of a four-part series, our One Man Think Tank pulls back the lens to look at how the resolution of the fiduciary furor could reverberate nationwide

June 24, 2013 — 4:03 AM UTC

An attorney explains where the 'trail goes cold' in PBS' 'Retirement Gamble'

Just where the line is between a legal and illegal 401(k) plan is important to know

May 21, 2013 — 5:52 PM UTC

The PBS 'Frontline' 401(k) documentary names suspects but leaves out major culprits of the theft of the American retirement

Wall Street charges excessive hidden fees, but it's all within the bounds that the system allows

May 8, 2013 — 6:20 AM UTC

Why 408(b)(2) is a flop for the 401(k) business and how RIAs can turn it around

The disclosure requirement sat around so long that workarounds got developed and employers got comfortable in the boiling water

April 10, 2013 — 5:23 PM UTC