For those following the acquisitions of five IBDs over the last year (including Cetera and First Allied) by Nicholas Schorsch-led RCAP, recent news about ACRP, their affiliate which focuses on non-... Read More
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Practice Management
BY Fred Barstein | 6/11/2014
Rep. George Miller (D-CA) has asked Labor Secretary Tom Perez to look at potential conflicts among pension consultants that recommend their own investments to clients, The Wall Street Journal reports... Read More
BY Fred Barstein | 5/29/2014
While there’s still a lot of skepticism about online advice — especially regarding so-called “robo-advisors” — Sigfig, a San Francisco-based newcomer, made a big splash when the leading online... Read More
BY Fred Barstein | 5/2/2014
Will the squeeze on health benefit brokers caused by Obamacare push them into the 401(k) market? According to an InvestmentNews article, there’s evidence that while individual benefit brokers will... Read More
BY John Iekel | 3/4/2014
Plan advisors are well aware that one of their clients’ newest — not to mention most publicized and even controversial — demands is fee disclosure. To meet that demand, some advisors are going a step... Read More
BY John Ortman | 2/27/2014
A 2013 EBRI analysis found that the savings targets set by participants in the lowest income quartile who had sought the input of a financial advisor were associated with a lower risk of running... Read More
BY Fred Barstein | 2/13/2014
What makes for good advice for participants in retirement plans? Robert Powell of the Wall Street Journal’s MarketWatch tackles that question with some good, practical advice of his own. With many DC... Read More
BY John Ortman | 2/6/2014
Positive, material changes in participant outcomes will only occur if plan sponsors recognize their stewardship responsibilities. And they’re looking for a leader to show them the way, Don Trone... Read More
BY Fred Barstein | 2/5/2014
One of the worst kept secrets in the advisor world is that the best source of competitive intel is local wholesalers, especially when it comes to recruiting. According to an Investment News report,... Read More
BY Don Trone | 2/3/2014
In a recent post, “Are Elite Retirement Advisors Born or Made?” I wrote about the gene “rs4950” and the brain wave patterns that elite retirement advisors are likely to have in common. I also... Read More
BY Don Trone | 1/23/2014
I recently reviewed some training material that is being prepared for professionals new to the retirement industry. When I was finished, the project manager asked me what I thought of the course.... Read More
BY Fred Barstein | 1/21/2014
In a deal that is sure to rock the independent broker dealer world and maybe the entire industry, RCS Capital bought Cetera Financial Group for $1.15 billion. RCS scooped up First Allied, Investors... Read More
BY Fred Barstein | 1/13/2014
When financial advisors in general, but plan advisors in particular, start growing, many realize that they are ill equipped to create and manage a business as opposed to managing a practice. Being a... Read More
BY John Iekel | 1/3/2014
One size doesn’t fit all. That’s a guiding principle of education, at least of children and adolescents. But that doesn’t always translate to education in all other situations, and teaching new... Read More
BY John Ortman | 12/30/2013
Financial advisors are upbeat as the new year draws near, expecting 2013’s bull market to continue in 2014. A huge proportion see good times ahead, according to a survey of 800 advisors conducted by... Read More
BY Fred Barstein | 12/27/2013
Most of us chose the 401(k)/DC plan business either by accident or because we saw an opportunity to make money. But some of us also view the DC industry as a way of helping people while providing for... Read More
BY Fred Barstein | 12/13/2013
According to compensation studies by InvestmentNews and Moss Adams, many RIA firms are experiencing dramatic growth, essentially doubling every five years. Ten years ago, the typical RIA had $350,000... Read More
BY NAPA Net Staff | 12/6/2013
By Alexander G. Assely IIIEditor's Note: This is the first in a series of posts by speakers at the 2014 NAPA 401(k) Summit, March 23-25, 2014 in New Orleans.The world we live in today is not the... Read More
BY Fred Barstein | 12/2/2013
Do participant disclosures in DC plans favor advisors paid through 12b-1 fees? That’s the opinion of industry experts like Lou Harvey, Fred Reish and Jason Roberts in an article from RIABiz. Since... Read More
BY Fred Barstein | 11/21/2013
Though most plan advisors and sponsors rely on their providers and TPAs to help prepare for an audit, it’s good for advisors to understand the process and to help prepare clients. The accounting firm... Read More
BY Fred Barstein | 11/12/2013
Though we’re drawn to extroverted, charismatic leaders, without introverts, extroverts would have no one to lead, you might argue. But there’s also an argument to be made that introverts make better... Read More
BY Fred Barstein | 11/8/2013
Jason Fried, co-founder of 37Signals and author of the brilliant book Rework, explains why face-to-face meetings to brainstorm ideas for the “next big thing” are overrated. It’s not about the “next... Read More
BY Fred Barstein | 10/18/2013
Do you ever take a vacation where you do no work at all — turning off your phone and never checking email? If you do, you’re probably in the minority. Most people do some work while vacationing,... Read More
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