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Practice Management

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
BY Allison Wielobob | 8/27/2019
It’s a question that your plan sponsor clients – and perhaps TPA partners – struggle with – what happens when a qualified plan mails a distribution check, but the check is not (yet) cashed?... Read More
BY NAPA Net Staff | 8/21/2019
Continuing to develop its wealth management business, CAPTRUST Financial Advisors announced Aug. 20 that Frank Bub has joined the firm as a senior director in the firm’s Advisor Group. Bub has... Read More
BY David Levine, JD | 8/8/2019
The loss of Americans’ privacy through the growing use of their data continues to be a major topic in the media. This focus is now turning to the retirement industry. Plan and participant data... Read More
BY Ted Godbout | 8/1/2019
The leadership of registered investment advisor firms apparently is getting younger, reversing a graying trend that had many advisors worried about the sustainability of the industry, according to a... Read More
BY Ted Godbout | 7/15/2019
  The wealth management industry is facing a generational crisis, and the support younger advisors want to develop a successful practice looks very different from that of earlier generations... Read More
BY NAPA Net Staff | 6/25/2019
Spectrum Investment Advisors has announced changes to its top leadership as part of the succession plan: Manuel Rosado has been appointed President; Matthew Demet will be Senior Vice... Read More
BY NAPA Net Staff | 6/11/2019
Doug Bermudez and Erin Hall have joined Strategic Retirement Partners (SRP), a national retirement plan aggregator.  Through their retirement plan consulting practice in the Los Angeles area... Read More
BY John Iekel | 6/7/2019
Cyber threats morph and evolve as quickly as the technology and data they compromise. Speakers at SPARK’s national conference in Falls Church, VA suggested ways to protect against them. ... Read More
BY John Iekel | 6/6/2019
The workforce, like the economy, is changing rapidly. That has implications in many areas, including retirement savings and retirement plan coverage. A June 4 session at the SPARK National Conference... Read More
BY Ted Godbout | 5/31/2019
Not all broker-dealers and investment advisers are adequately addressing the various security risks in relation to their network storage solutions, which could result in unauthorized access to... Read More