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Not All Adviser Conflicts Are Equal, But None Should Be Ignored

By / 401(k) Plan Management, 401k Advisor, Benchmarking & Monitoring Fees & Partners, Benchmarking Fees, Convergence & Advisor M&A, Documents & testing, erisa, Financial Advisors, Financial Wellness, Investments, IRA Roll overs and Roll ins, Managed Accounts, One-on-on consulting, Participant data
Wealth Advisor
The financial services industry has largely normalized compensation arrangements that create conflicts of interest.  Other professional fields—tax and legal—figured this out long ago and largely...

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The 3(21) vs. 3(38) Debate: Why Delegation Doesn’t Mean You’re Off the Hook

By / 3(16) Plan Administrator, 401(k) advisor trust, 401(k) Managed Accounts, 401(k) Plan Management, Benchmarking & Monitoring Fees & Partners, benefit education, benefits committee, Client connection, collaboration, Communication, DC Plan Sponsors, Distribution, Documents & testing, DOL, DOL Guidance, Fiduciary Liability, Financial Advisors, Financial Stress, investment, investment comittee, Retirement Committee, Retirement Plan Advisor Due Diligence
The promise sounds appealing: hire a fiduciary advisor, hand over investment decisions, and sleep better at night knowing someone else is handling the heavy lifting. ...

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Target Date Funds: The Key to Enhanced Retirement Outcomes

By / 401k News, 403b, Benchmarking & Monitoring Fees & Partners, Collective Investment Trust, Communication, Compliance, DC Plan Sponsors, Documents & testing, DOL, ESG, Fiduciary, Financial Wellness, Regs and Regulators, Secure Act Changes, Target Date Funds
Target Date Funds (TDFs) have significantly changed the Defined Contribution (DC) retirement landscape, making retirement planning simpler.  TDFs allow individuals to invest in a single...

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Effective Retirement Plan Education: Reaching All Learning Styles

By / 401k News, Adaptability, adult learning, AI, benefit education, benefits committee, Client connection, collaboration, Communication, Confidence, DC Plan Sponsors, Documents & testing, Economy, education, Employee Benefits, Employee engagement, Employee happiness, evolving and adapting, Fiduciary, Financial Advisors, financial literacy, Financial Wellness, Peer to peer learning, Retirement Committee, virtual learning
Retirement Education
Effective Retirement Plan Education: Reaching All Learning Styles Educating employees about retirement plans is essential for any successful retirement program.  By providing the right knowledge,...

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Annual Benchmarking Is a Must for Plan Sponsors

By / 401k News, auto enroll, auto escalate, Auto Portability, Benchmarking & Fees (ERISA, retirement plan), Benchmarking & Monitoring Fees & Partners, Benchmarking Fees, Benchmarking Funds, Benefits integration, Communication, Compensation, Compliance, Consolidation, Convergence, cybersecurity, DC Plan Sponsors, Documents & testing, Due Diligence, Fiduciary, Fiduciary, Financial Advisors, Financial Wellness, investment, Recordkeeping, Regs and Regulators, Retirement Committee, Retirement Plan Fees
chart of growth
Evolving regulations mean plan sponsors continue to face increasing scrutiny when it comes to their fiduciary responsibilities.  A recent analysis of 50,000 retirement plans in...

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Transforming the 401(k) Landscape: Embrace the Change

By / Adaptability, AI, artificial intelligence, Change, Client connection, collaboration, Communication, Convergence, DC Plan Sponsors, DC plans, Documents & testing, Economy, Fiduciary, Financial Advisors, Financial Wellness, Fintech Record Keepers, mindfulness, Regs and Regulators
The 401(k) and defined contribution industry is going through major changes, driven by a mix of historical events and recent developments.  The COVID-19 pandemic has...

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Recordkeeper Shifts Mean Plan Sponsors & Advisors Must Evolve Too

By / 401k News, Adaptability, Communication, competition, Consolidation, Convergence, Cyber Security, DC plans, Documents & testing, Due Diligence, Fiduciary, Financial Advisors, Improving Outcomes, Record Keepers, Recordkeeping, Regs and Regulators
Past Present And Future
Retirement plan recordkeepers have undergone tremendous change in recent years, driven by consolidation and a race to innovate and scale.  According to Mike Webb CAPTRUST...

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