Week of February 24, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! This week brought the publication of the annual PLANADVISER Micro Plan Survey, focused on those plan sponsors with less than $5 million in assets. If you aren’t interested in serving micro-plan sponsors, the data suggests you may want to think again. Taken as a whole the micro-plan market in many ways is quite large and presents a tremendous opportunity for advisers. We hope you will explore the study findings, and see other recent PLANADVISER proprietary research linked below. 
MOST POPULAR STORIES
Compliance
Oracle Fails to Get 401(k) Excessive Fee Suit Dismissed
A judge concluded that the legal and factual merits of plaintiffs’ claims are better resolved on a fuller factual record, either in the context of a motion for summary judgment or at trial.
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Compliance
Dodd-Frank Repeal Battle Parallels Fiduciary Fight
Federal agencies and initiatives carry significant momentum and must be redirected carefully, but forcefully, by any incoming president.
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Deals and People
Retirement Industry People Moves
American International Group Expands Retirement Business; OneAmerica Appoints President of Individual Insurance and Retirement Services; PenChecks Hires VP of Institutional Sales; and more.
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Compliance
T. Rowe Price Accused of Self-Dealing in 401(k)
The lawsuit alleges the defendants failed to loyally and prudently monitor the fees and performance of 401(k) plan investment options, and simply retained in-house funds to enrich T. Rowe Price.
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Compliance
Self-Dealing Lawsuit Filed Against Charles Schwab
The complaint alleges that defendants “reaped significant fees and profits at the expense of the plan and its participants.”
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EDITOR’S CHOICE
2017 PLANADVISER Micro Plan Survey
Because there are larger fees to be earned from plans with greater assets, recordkeepers and even advisers may be tempted to gravitate—and often do—toward plans with more than $5 million. But the needs of micro plans can be quite vast, as are the opportunities for a good plan adviser in this corner of the market.
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PLANADVISER Defined Contribution Investment Only (DCIO) Survey
DCIO fund allocations have remained stable, with 50% of assets in stocks. Interestingly perhaps, considering asset-allocation funds’ prevalence in fund lineups, only 19% of DCIO assets are in such funds.
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PLANADVISER Practice Benchmarking Survey
The 2016 PLANADVISER Practice Benchmarking Survey gives you a guidepost to see how you compare with your peers.
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PLANADVISER Recordkeeper Services Guide
Retirement plan advisers may often find themselves in the role of matchmaker: working with a defined contribution client to determine which investments and platforms or providers are the best fit. To be in a top position to guide the client, an adviser must keep abreast of the provider community, so as to stay current on what products and services are available to suit each client’s needs.
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Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com
Advertising: Paul Zampitella paul.zampitella@strategic-i.com
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