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Investment Advisor
December 2007
Melanie Waddell |
Grasping the New 403(b) Rules Changes to 403(b) plans provide opportunities for financial advisors, retirement experts say.   |
Financial Planning
April 1, 2008
Joshua B. Gottfried |
New Rules at School With few experts well-versed about 403(b) retirement plans, those who are will be able to help educators and school districts work through the new system and build their client base. |
On Wall Street
September 1, 2012
Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business. |
Financial Advisor
December 2008
Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. |
Registered Rep.
June 2, 2015
Megan Leonhardt |
Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients. |
The Motley Fool
February 10, 2004
Dan Otter |
ERSA 2.0 and the 403(b) The latest reincarnation of the ERSA (Employer Retirement Savings Account) may not be a panacea for 403(b) participants. |
Investment Advisor
February 2008
Kara P. Stapleton |
Win Over Those Rollovers There's a big business in moving clients to IRAs, the Cerulli Edge Retirement Edition study suggests. |
Registered Rep.
June 4, 2013
Diana Britton |
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends? |
Registered Rep.
February 10, 2012
Mark Miller |
New Focus on Small Workplace Retirement Plans Means Lower Fees, Opportunity for RIAs The spoils of the 401(k) market have always gone to the large players -- big retirement plan providers providing the best, most efficient plans to big plan sponsors. But small is starting to look beautiful. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Registered Rep.
July 24, 2012
Jerry Gleeson |
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations. |
Investment Advisor
April 2007
James J. Green |
Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance. |
Financial Planning
October 2, 2007
Jack W. Callahan |
Embrace Change Advisors have to adapt their practices to accommodate retiring clients. |
Investment Advisor
January 2007
Savita Iyer |
DC Advisor-Sponsor Matchmaker The relative lack of corporate advisors is a result of inertia on the part of plan sponsors; despite pronouncing themselves dissatisfied with their retirement plans, plan sponsors do not take the easy step of finding a new advisor. |
Registered Rep.
February 7, 2012
Kristen French |
More Advisors Wearing Investment Management Hat Financial advisors at broker/dealers are increasingly taking the reins on their clients' fee-based accounts, according to a report out from Cerulli Associates today. |
Investment Advisor
April 2009 |
Soapbox: How to Restore Trust If we want advisors to act in the best interest of clients, there should be a compensation system that offers them incentives them to do so. |
Financial Planning
December 1, 2010
Trone & Harvey |
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry. |
On Wall Street
March 1, 2010
Bo Bohanan |
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident. |
Financial Advisor
May 2005
Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds. |
Financial Planning
November 1, 2010
Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require. |
Registered Rep.
October 1, 2012
Diana Britton |
A Package Deal Most advisors would say they want to do what's best for their clients. But if that's the case, they better not manage their clients' money on their own; better leave that to the home office, new research from Cerulli Associates shows. |
Investment Advisor
June 2008
Melanie Waddell |
Retirement Planning at Envestnet The former president of Ibbotson plans 401(k) advice platform for Envestnet Asset Management's newly established Retirement Services Group. |
Registered Rep.
January 1, 2006
Halah Touryalai |
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. |
Registered Rep.
July 1, 2006
Kristen French |
Independent Channel Big and Getting Bigger Every financial-advice channel grew in terms of advisor headcount in 2005 except for the regional and bank broker/dealers, according to recently released research. |
Financial Advisor
March 2012
Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans. |
Registered Rep.
April 7, 2011
Kristen French |
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011. |
On Wall Street
August 1, 2012
E. Thomas Foster Jr. |
Reviewing Retirement Plans Can Reduce Risk In the retirement plans marketplace financial advisors can provide tremendous value for business owners by reviewing the inner workings of 401(k)s and other defined contribution retirement plans for potential risks and overall effectiveness. |
Investment Advisor
September 2006
Mark Tibergien |
Formulas for Success: Bust of Boom? Financial advisors need to adjust their practices as baby boomer clients age. |
Registered Rep.
March 30, 2011
Matt Matrisian |
Bridging the Succession-Planning Gap Too many advisors need help planning their financial futures. Today, only about 18 percent of independent advisors have a well-defined business succession plan that is ready to implement. |
Registered Rep.
November 5, 2012
Scott Smith |
Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing. |
Registered Rep.
September 11, 2009
Halah Touryalai |
Survey Says: Wall Street Advisors Going...Wait For It...Independent! Wall Street wirehouse firms are expected to see a net loss of $188 billion in client assets to other channels in the industry, including RIAs, independent broker/dealers and regional b/ds. |
Registered Rep.
March 1, 2006
Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. |
Financial Advisor
May 2012
Michael J. Mcdermott |
Day Of Reckoning Fee-based advisors should benefit when 401(k) participants soon find out the cost of their plans. |
Investment Advisor
November 2005
Melanie Waddell |
Take Your Pick Retirement plan providers are tempting advisors with numerous products and services. |
Financial Advisor
June 2012 |
LPL Financial Launches Rollover Program LPL Financial is launching a new platform to help advisors increase their retirement business by serving more individuals rolling over their 401(k) plans. |
Registered Rep.
January 22, 2015
Ryan W. Neal |
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise. |
Registered Rep.
December 5, 2011
Anne Field |
How to Bust Out to a Fee-Only Model In the two years since he's joined Moneta Group, Pat Howley has moved his business from 60 percent commission to 90 percent fees. |
Registered Rep.
July 1, 2006
Stan Luxenberg |
B Is Not for Bad Class B mutual fund shares are under assault. Regulators have fined some advisors for recommending B shares when A shares, which offer so-called breakpoint discounts, would have been cheaper for clients. |
Registered Rep.
December 4, 2012
Gallant & Schneider |
Are We There Yet? No, But FAs Can Help. In Search of Retirement Income Many advisors mistakenly believe that retirement income clients are a diminishing asset, not recognizing that these clients tend to consolidate investments and to be more loyal. |
Financial Planning
November 1, 2006
Marshall Eckblad |
Advisor Pulse Financial planners are working hard to meet the needs of their retiring clients. But according to a recent survey, they might be doing so at their own expense. |
The Motley Fool
March 31, 2005
Dan Otter |
403(b)etter or Worse? Teachers and others stand to gain and lose with new retirement plan rules. |
Investment Advisor
March 2007
Melanie Waddell |
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients. |
Registered Rep.
April 1, 2005
Luxenberg & French |
A Pile of Reasons Regulators and broker/dealer management have gone overboard with mutual fund disclosure. Take the case of the B-share class of mutual funds. |
Financial Planning
March 1, 2005
Kristen French |
To B or Not to B Once-popular B shares have seen their sales dwindle since 2001--and may soon be extinct completely. |
Registered Rep.
July 29, 2013
Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. |
The Motley Fool
February 7, 2005
Rich Duprey |
Retire the IRS Way? Regulation proposal will offer sweeping overhaul of 403(b) plans. Feb. 14 deadline for public comment nears. |
Registered Rep.
November 1, 2005
Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs. |
Financial Planning
September 1, 2008
John J Bowen Jr |
Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre. |
Registered Rep.
December 1, 2006
Anne Field |
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them. |
Registered Rep.
February 12, 2003
Ross Tucker |
Slow Growth in Fee-Based Business Relatively few brokers are increasing their commitment to fee-based advisory practices, a new report indicates. |
