Client Service September 24th, 2019 Advisers Giving Back: A Foundation That Spans the World Since its founding in 2011, the SageView Foundation has raised more than $1.5 million to help meet the health care...
Client Service September 20th, 2019 Inheritance Pathways Exist to Replace Stretch IRAs The SECURE Act is stalled in the U.S. Senate due in part to several lawmakers’ concerns that it does away...
Compliance September 13th, 2019 Is Mandatory Arbitration Likelier for ERISA Complaints? The Dorman vs. Charles Schwab Corp. decision out of the 9th Circuit is significant, but it leaves at least one...
Compliance September 10th, 2019 State AGs’ Lawsuit Just One Part of Broader Fiduciary Fight There is an all-out regulatory tug of war going on between consumer groups, the brokerage industry, the states and the SEC.
The Markets September 10th, 2019 Advising Pensions and Endowments in Rocky Markets From 100-year bonds to sophisticated hedging, the world of pension plan investing is different from the DC plan domain.
Client Service September 5th, 2019 Guiding Anxious Participants Through Rocky Markets For advisers helping participants understand risk and volatility, offering a little reassurance can be more effective than teaching complex lessons...
Deals & People September 3rd, 2019 Advisers Giving Back: Teaching Financial Literacy Barbara Delaney, a principal at StoneStreet Renaissance LLC, teaches high school girls how to handle money.
Practice Management August 30th, 2019 State-Run Auto-IRAs Will Help Close the Coverage Gap Sources view state-run retirement savings plans as useful for improving retirement readiness, as well as a potential business opportunity for...
Practice Management August 26th, 2019 The Path Ahead for Small Firms and Independent RIAs Just 5% of RIA firms advise on $1 billion or more in assets, but they service more than 60% of...
Client Service August 21st, 2019 Rollover Mechanics and the Most Common Mistakes Besides failing to invest the money within the IRS’s 60-day window—the most common mistake according to the experts—another frequent error...
Practice Management August 19th, 2019 The Next Generation of Producers Is Emerging The median age of advisory firm associates is 42, while the median age of lead advisers is now 46 years,...
Compliance August 14th, 2019 ‘Stretch IRAs,’ Multigenerational Inheritance and the SECURE Act Low and middle-income Americans struggling to save for retirement are depending on the U.S. Senate to pass the SECURE Act,...
Columnists August 13th, 2019 The DOL’s Fiduciary Race Ahead of 2021 There is precious little time remaining for the proposal and adoption of any new advisory industry conflict of interest rules that the DOL hopes to make effective during...
Compliance August 7th, 2019 Former House Speaker Boehner and Rep. Crowley Talk Union Pension Crisis The influential former lawmakers are using their combined bipartisan stature to advocate for progress on the union multiemployer pension funding...
Compliance August 5th, 2019 Meet Your FINRA Board of Governors Large Firm Candidates A contested election for a seat on the FINRA Board of Governors will be settled at the annual meeting of...