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"Boom"ing 401(k) Rollovers: Will New Rules Slow the Surge?

May 18, 2017

With the surge of baby boomer retirement has come a noticeable increase in rollover activity as retirees move savings from 401(k) plans to individual retirement accounts (IRAs).

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Is Auto-Escalation Helping American Workers Save for Retirement?

April 28, 2017

Auto-escalation is hitting its stride, but what more can be done to increase deferral amounts?

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Can New Tech Ideas Influence 401(k) Participant Behavior?

April 3, 2017

Are consumers ready for on-demand, pushed mobile retirement advice and one-click deferral escalations? Some research says yes, but other experts say, “Not so fast.”

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Fiduciary Rule Shines Spotlight on 3(21) and 3(38)

March 27, 2017

As if advisors didn’t have enough to worry about with the fiduciary rule, experts warn that they’d better have a firm understanding of ERISA 3(21) and 3(38)—read why.

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Is Auto-Portability the Next Big 401(k) Trend?

February 15, 2017

All signs point to auto portability as the next big thing to shore up 401(k) participant behavior. Most simply, auto portability entails an automated plan-to-plan retirement savings transfer (sometimes via a safe harbor plan) when workers change jobs, and is touted as a way to reduce plan leakage.

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Inside the Mindset of Millennials: What Every Advisor Should Know

January 4, 2017

Millennials are now the largest generation in the U.S. Sabrina Lowell, CFP, advisor and COO at Mosaic Financial Partners, describes millennials' financial priorities and how they differ from those of previous generations.

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Fiduciary Lawsuits Target Smaller Plans: How Can Advisors Mitigate Risk?

December 23, 2016

The companies that have faced fiduciary-related lawsuits read like a who’s who across fast-growing industries. Now, litigation is targeting small to midsized plans at architectural firms, medical practices, auto collision shops and similar businesses. This trend should put every 401(k) advisor on high alert.

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Better Marketing for Financial Advisors: Experts Weigh In

December 15, 2016

The ranks of financial advising are expected to grow 30 percent between 2014 and 2024—more than four times as much as the average growth rate for all occupations. So, advisors will need to find better ways to market and differentiate themselves. Here are a few ways to go about it from noted advisor marketing experts.

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Collective Investment Trusts Grow Popular Among Advisors

December 8, 2016

Collective investment trusts (CITs) are fast becoming the darlings of the 401(k) and pension marketplace, as they are now an option in more than 70 percent of plans.

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Multiple Employer Plans Have Bright Future

November 4, 2016

401(k) experts are keeping an eye on legislation that could make multiple employer plans (MEPs) an extremely favorable option.

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Creator of 401(k) Offers Blunt Advice for Plan Advisors and Sponsors

October 20, 2016

In this interview with 401(k) creator Ted Benna, he gives his no-holds-barred opinions on the topics affecting financial advisors and plan sponsors today.

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Fiduciary Rule May Affect 401(k) Rollovers

September 21, 2016

In March 2016, just one month before the Department of Labor’s (DOL) issuance of the new Fiduciary Rule, Fidelity Research released a report that showed a whopping 73 percent of financial advisors were concerned the Rule would negatively affect their business. And it appears their worries were justified. Here's why.

Read More About how the fiduciary rule could affect rollovers

Stable Value Funds: Everything Old is New Again

September 19, 2016

Despite being in existence for 40+ years, the stable value fund (SVF) is once again the popular kid on the 401(k) investment block. Thanks to rising interest rates, the funds are increasingly viewed as the low-risk darling of 401(k) plans.

Read More About stable value funds and their rise to popularity

Expert: Fiduciary Rule Will Have Widespread Effect on Advisor Business

August 09, 2016

As executive chairman of fi360, Blaine Aikin has become a standard bearer for the fiduciary movement and the Department of Labor (DOL) Fiduciary Rule. Aikin and fi360 watched the rule’s development closely and were part of the financial community that provided comments and recommendations to the DOL from the first drafting stages. Here's how Aikin feels the rule will affect financial advisors.

Read More About how Blaine Aikin describes how the Fiduciary Rule may affect financial advisors

New World Order: How Advisors Prepare for the Final Fiduciary Rule

July 07, 2016

After months (some would say years) of speculation, the Department of Labor (DOL) issued its final iteration of the fiduciary rule, which aims to ensure clients’ financial needs are put first. The changes may present an opportunity for financial advisors who fully understand the rule.

Read More About How Advisors Prepare for the Final Fiduciary Rule

A Taste of ERISA Fiduciary Responsibilities for Financial Advisors

June 03, 2016

This infographic uses a food preparation metaphor to make it easier to understand the difference between the different types of ERISA fiduciaries.

Read More About ERISA Fiduciary Responsibilities

401(k) Fiduciary Responsibility: Tibble v. Edison International

May 09, 2016

Last year, a much-watched legal case on the U.S. Supreme Court docket pitted employees versus employer while questioning the timeline for 401(k) fiduciary responsibility.

Read More 401(k) fiduciary responsibility

Small-Market 401(k)s Mean Big Opportunity for Retirement Plan Advisors

March 09, 2016

While retirement plan advisors often focus on high-net-worth accounts, competition for these clients is more intense than ever. The result? Small-market 401(k)s are becoming an increasingly solid source of business.

Read More About Small-Market 401(k)s Mean Big Opportunity for Retirement Plan Advisors

Top 5 401(k) Plan Violations Caught by Auditors

January 05, 2016

In this highly regulated environment, even the best-intentioned plan sponsors can inadvertently get tripped up. Avoid these common mistakes plan sponsors make that catch the attention of government agencies.

Read More About Top 5 401(k) Plan Violations Caught by Auditors

Reporting for Duty: What the Tibble Ruling Means for Retirement Plan Advisors

June 09, 2015

The Supreme Court’s May 2015 decision on Tibble v. Edison has major implications for retirement plan advisors, despite the fact that it was, essentially, simply a procedural ruling.

Read More About Reporting for Duty: What the Tibble Ruling Means for Retirement Plan Advisors

Why Spending in Retirement, Not Saving for Retirement, is the New Approach for Aging Clients

July 14, 2017

"Save for retirement” has always been a popular mantra among advisors. A subtle cognitive shift, however, has the industry looking at how they can better help 401(k) plan participants with distribution retirement – or, put more simply, teach them how to spend in retirement.

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The Economics of Financial Wellness

November 30, 2016

Financial wellness isn’t just a feel-good benefit; it's become a workplace necessity with real bottom-line impact, according to Bill Chetney, CEO of GRP Advisor Alliance, and a Bank of America Merrill Lynch Workplace Benefits report.


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The Target Date Fund Trend: A Low-Maintenance Strategy

October 17, 2016

Mutual fund-based target date fund (TDF) assets climbed to a record $790 billion in Q1 2016 (up $27 billion since January), with TDFs in defined contribution plans accounting for nearly 68 percent of that amount. Are target date funds a clear 401(k) choice for advisors and participants?

Read More about the target date fund trend

How Advisors Can Give Plans Sponsors What They Want

July 13, 2016

What does a plan sponsor want from an advisor? MassMutual Financial Group released a report designed to help “retirement plan advisors succeed by identifying what motivates plan sponsors to work with a plan advisor.” Here's what they found.

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Why Retirement Benefits Are Critical To Closing Talent Gaps

October 23, 2015

If your business is struggling to attract and retain top performers, adding retirement benefits or upgrading existing benefits could be the key to closing your company’s talent gap.

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Myths Surrounding 401(k) Limits

July 06, 2015

There are several popular myths around the benefits and affordability of an employer-sponsored 401(k) plan. Make sure you’re getting all the facts before making this important decision.

Read More about Myths Surrounding 401(k)

8 Reasons to Integrate Payroll with 401(k) Administration

April 27, 2015

Integrating your existing payroll data with the management of your company’s 401(k) plan can help offset the administrative burdens that sometimes go along with offering this valuable benefit.

Read More About Reasons to Integrate Payroll with 401(k) Administration

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