Articles tagged "Sheridan Road"


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LPL Financial's DOL-rule memo to reps implies deeper message: Become an RIA or stand down on giving rollover advice

The 'deep-pocketed' broker-dealer puts its Series-7 brokers on notice to forget about suggesting a rollover even as it gives its hybrid RIAs a strict protocol to stay out of trouble

July 5, 2017 — 8:02 PM UTC

LPL Financial lets go of David Reich to pull its crucial $135-billion 401(k) division into a central service and branding sphere

The head of the unit exits amid advisor chatter that the hyper-channelization of LPL sometimes makes six phone calls necessary when one would do

June 26, 2017 — 9:34 PM UTC

How Bill Hamm is turning a $10 billion-plus loss of 401(k) assets into a revenue-neutral, neural-neutral experience

After cleaning up his compliance act with an LPL assist, the head of Independent Financial Partners is fighting back

April 10, 2015 — 7:48 PM UTC

Erring 401(k) plan advisors seek do-overs from DOL to ward off potentially crippling fines

A proposal from leading ERISA attorneys would let RIAs say mea culpa on misinterpretations and technical fouls in the wake of new fee disclosure rules

October 22, 2012 — 3:02 AM UTC

RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue

Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem

September 20, 2012 — 5:01 AM UTC

How giant advice provider Financial Engines can sweep the 401(k) field -- or not

It has $53.7 billion of assets under its managed account platform, but how the new DOL disclosure rules, competition from Morningstar and Schwab's bet on GuidedChoice play out will be very telling

May 22, 2012 — 3:41 AM UTC
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