In an industry focused increasingly on the intersection of health and wealth, a new industry consolidation is designed to do just that.
That move marries Resources Investment Advisors with... Read More
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Practice Management
BY Rebecca Hourihan | 1/23/2020
Your friend’s Facebook account was hacked, your neighbor was part of the Equifax data breach, your client’s credit card was charged fraudulently, but never do you think it could happen to you.... Read More
BY Brian Graff | 1/15/2020
Ironically, one of the most popular provisions in the SECURE Act also turns out to be one of the most controversial among industry professionals.
Specifically, that’s the provision regarding “... Read More
BY Joshua J. Waldbeser and Fred Reish | 1/8/2020
In June 2019, the SEC finalized its “best interest” rulemaking package, including:
Regulation Best Interest: The Broker-Dealer Standard of Conduct (“Reg BI”), governing recommendations to... Read More
BY Rebecca Hourihan | 1/2/2020
“It might only take me an hour to complete something, but don’t forget about the 15 years it took me to learn how to do it.”
Experience cannot be bought; it has to be earned. So, the next time you... Read More
BY NAPA Net Staff | 12/26/2019
National aggregator Strategic Retirement Partners (SRP) has announced that the Millennial team of Jeanne Fisher, Bryan Peebles and Rhea England has joined the firm.
Notable for their... Read More
BY Brian Graff | 12/19/2019
Let’s say you are a plan advisor with experience advising on cash balance, age-weighted profit-sharing, or similarly designed retirement plans – and your client’s accountant calls in April with a... Read More
BY NAPA Net Staff | 12/16/2019
Public employees are the backbone of local communities, serving as teachers, firefighters, police, EMTs, park employees – but when it comes to retirement security, the playing field is not level... Read More
BY Ted Godbout | 12/13/2019
For advisors who have spent their careers building their firms from scratch, selling to a larger firm is an important life event that can spark a range of emotions.
To better understand this... Read More
BY John Iekel | 12/10/2019
Cyber crime, and cyber security, obviously are a concern for plans. But that means more than making sure plan records and accounts are not targets and victims — it also includes other functions... Read More
BY Nevin E. Adams, JD | 12/3/2019
Shopping for a new provider is not something one would normally equate with a Black Friday foray or a Cyber Week scramble. But if you have a plan sponsor — or plan sponsor prospect — who’s thinking... Read More
BY NAPA Net Staff | 11/25/2019
The Charles Schwab Corporation and the TD Ameritrade Holding Corporation have entered into a definitive agreement for Schwab to acquire TD Ameritrade in a stock transaction valued at approximately $... Read More
BY NAPA Net Staff | 11/20/2019
Hub International Limited is on the move again, this time acquiring the brokerage services and investment advisory book of business from Bill Peragine and John Biondo.
Previously doing... Read More
BY Judy Ward | 11/19/2019
John Ludwig worked as a wholesaler for 20 years before setting up his plan advisory practice. “Because of my experience, I probably hold wholesalers more accountable than the average advisor,” says... Read More
BY Ted Godbout | 11/16/2019
Nearly 37% of advisors are expected to retire over the next 10 years, according to new research from Cerulli Associates, putting nearly 39% of assets under management in play.
The wirehouse (40.7... Read More
BY John Iekel | 11/13/2019
In the wake of the DOL’s final rule on association retirement plans (ARPs), the time is ripe for local Chambers of Commerce to consider them, argues a U.S. Chamber of Commerce exec.
Speaking... Read More
BY NAPA Net Staff | 11/12/2019
Under the terms of the transaction, Ladenburg has agreed to be acquired by Advisor Group through a transaction valued at $1.3 billion.
Under terms of the agreement, each outstanding share of... Read More
BY Nevin E. Adams, JD | 10/31/2019
What’s a plan fiduciary to do when a participant’s designated beneficiary is responsible for the participant’s death?
That was the case in Estate of Brownell v. Lyczak (D.N.J., No. 18-... Read More
BY John Iekel | 10/29/2019
Group dynamics exert a powerful influence when a retirement plan committee is making a decision. An industry expert recently offered his take on the consequences of that phenomenon.
At an Oct... Read More
BY John Iekel | 10/27/2019
The retirement plan world of 2019 is not that of 1995, or 1983, or 1974. And yet, there are important features of years past that laid the groundwork for where we are now – or perhaps, are... Read More
BY Ted Godbout | 10/24/2019
Concerns about fraud and hacks in the retirement and insurance industries has led to a new platform that will enable financial services companies to better detect and prevent account takeover... Read More
BY John Iekel | 10/22/2019
TPAs and advisors can and should collaborate, argued Jeffrey Acheson, Chief Business Development Officer/Divisional President, Independent Financial Partners, at an Oct. 21 session of the ASPPA... Read More
BY NAPA Net Staff | 9/27/2019
We recently asked a large group of retirement plan advisors which, of a wide range of services, they had proposed to their clients or prospects in the past year.
Now, we limited their choices to... Read More
BY Nevin E. Adams, JD | 9/24/2019
Plan sponsors have a lot of responsibilities and often rely on others to help them keep their plan operating in accordance with the law. And yet, even with the most attentive plan sponsors, mistakes... Read More
BY John Iekel | 9/4/2019
Phishing– sending scam emails – is still the most common way cybercriminals try to steal sensitive data. The IRS has issued some tips to help tax and other professionals from falling prey... Read More
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