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Articles tagged "401(k)"


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Skip Schweiss: We think it’s time to ramp it up.

TD Ameritrade and Pershing are making moves to win RIA 401(k) assets

Little-known Matrix is strong with 401(k) business for advisors and Fidelity's new 401(k) RIA solution is well-received

November 3, 2010 at 6:44 AM

Catherine Golladay: People are more likely to engage in professional help if it is provided in a personalized one-on-one setting

What Schwab's new 401(k) study tells about the demand for financial advisors to manage retirement assets

Automated advice is making a bigger dent but the personal touch is favored by a wide margin

September 29, 2010 at 4:13 AM

Jim Sotell: Fees that were hidden are coming to the surface. That will put RIAs on a more level playing field with brokers in the retirement plan business.

How the new 12b(1) fee restrictions could transform the financial advisory industry

Brokers selling 401(k) plans may have another nail driven into their coffin

July 22, 2010 at 3:56 AM

U.S. Rep. George Miller is one of a number of Washington, D.C.-dwellers paying more attention to hidden fees in 401(k) plans.

One down, two to go: Trio of important DOL regs reshapes 401(k) advice business

Plan fiduciaries may face an easier world -- if their disclosures don't come back to bite them

July 20, 2010 at 3:44 AM

Scott Pritchard: As much as I’d like to say that Fidelity has lost their edge, I think this is just a reflection of the fact that a small percentage of plan sponsors have begun to recognize the value of working with independent RIAs.

What the confidential documents uncovered by Reuters say about Fidelity's future in the 401(k) business

A rare glimpse at the 401(k) giant's client tally shows slippage among big customers but its 401(k) business may be finding increased traction with advisors

July 8, 2010 at 6:58 AM

RIAs continue to rise above the landscape and capture notice from across constituencies

What happened in June shows that RIA fortunes stayed on the rise

The giant legislative victory was a landmark for RIAs but much more happened as Spring turned to Summer

July 2, 2010 at 4:58 AM

Phil Chiricotti says the rules are the rules when it comes to the 401(k) business

Phil Chiricotti speaks out on broker-sold commissions, RIA fees and heresy

The 401(k) expert says RIAs generally lack the qualifications to work in the retirement assets market -- and may charge too much

June 18, 2010 at 5:17 AM

Craig Watanabe: Adequately servicing 401k plans is a demanding endeavor and we will likely see retirement plan specialists gaining market share.

What Cogent's new study says about where RIAs stand in the 401(k) business

Brokers still dominate most segments but RIAs do well with bigger plans, results of two surveys show

June 17, 2010 at 4:44 AM

Peter Savarese: If the DOL does its job and promulgates 408(b)(2) as expected, all RIAs will have a competitive advantage

A compliance attorney fields four tough 401(k) questions amid crossfire provoked by Ric Lager's column

Peter Savarese's answers show how RIAs can manage 401(k) assets and avoid land mines

May 28, 2010 at 4:39 AM

Ric Lager:  I have never given a bag lunch seminar over lunch hour in the company cafeteria.  Hell, I don’t even have a PowerPoint presentation on the topic.
May 25, 2010 at 4:57 AM

If Congress passes financial reform, it only sets the stage for a new host of FINRA, SEC and DOL issues
May 14, 2010 at 5:38 AM

India is a very fertile place for RIA activity, says Charles Lowenhaupt.

The world according to advisors

Scanning the RIAbiz stats for what advisors were thinking about over the past month

May 12, 2010 at 4:52 AM

Tony Ferreira: They’re a victim of the recession.

Some experts question Cogent Research study's finding of big dip in 401(k) plan ownership

The bad economy deterred participation in employer retirement plans but their growth may stay suppressed longer term, researchers say

April 29, 2010 at 6:26 AM

Bob Kleiber: Our fees are up front, on the statement every month. Brokers and insurance agents fees are hidden. Sometimes we have to explain that to clients, again.

Fidelity brings its 401(k) muscle to RIAs with new product

The 401(k) giant seeks to do for RIAs what it's done for brokers all along

April 21, 2010 at 4:51 AM

Heather Underwood goes deep into the made-for-RIA features of BrightScope's website

How BrightScope is using technology to create order in a messy 401(k) market

A San Diego-based company gives a peek behind the curtain of many of the 60,000 largest defined contribution plans

March 25, 2010 at 5:27 AM

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