Articles tagged "Jason Roberts"
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How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs
The Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man
May 13, 2016 at 10:19 PM
DOL glows and Invesco glowers over $10 million settlement of alleged ERISA infraction
Labor Department's Phyllis Borzi praises Invesco Trust Company for 'stepping up' but the Atlanta fund company says it did nothing wrong and was merely extracting itself from DOL overreach
May 3, 2016 at 7:34 PM
Why luring 401(k) assets to IRA rollovers in a post-DOL-rule world remains child's play, which keeps $7.6 trillion in the IRA game and growing
Clients still hate 401(k) inflexibility around withdrawals and the DOL granted advisors the upper hand in getting clients to sign away protections with regard to pricier products
April 20, 2016 at 8:25 PM
The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street lobbyists earned their keep
12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process
April 6, 2016 at 10:00 AM
401(k) industry howls as DOL lets state governments become DC providers with advantageous exemptions
Multiple employer plans' under states will have economies of scale, fewer rules, while ERISA bars private firms from banding together
December 10, 2015 at 7:00 PM
Will the alternative assets Intel added to its 401(k) plan backfire legally as well as financially?
New lawsuit alleges that spicing the DC plans with $2.5 billion of bets on de facto dark pools of 'shudder'-worthy alternatives cost participants hundreds of millions of dollars
November 12, 2015 at 8:55 PM
Capitalizing on 'unintended consequences' of DOL changes, Ken Fisher pounces on a fat-margin 401(k) opportunity
DOL greased the skids for closed-architecture approach of $60-billion RIA -- as long as it is discloses use of proprietary funds and sets flat fees that apply to them
October 15, 2015 at 5:28 PM
After cutting 401(k) middlemen out backfires, Schwab cuts them back in
The problem for Walt Bettinger's newfangled Index Advantage DC plans was that for three years only $10 billion of assets showed up in an atmosphere of self-direction
August 6, 2015 at 5:17 PM
After growth dip, BrightScope takes a whirl at mutual fund data -- but in a way that Morningstar claims it bypassed
The La Jolla RIA-tracker will gear data toward the 401(k) market and knock down a paywall
June 11, 2015 at 7:09 PM
How 12(b)-1 fees and revenue sharing may be the real victims of Monday's 'narrow' Supreme Court ruling
By unanimous decision, a conservative nine showed no tolerance for retail mutual fund share classes that achieve such status with fat fees that directly or indirectly pay 401(k) administration freight
May 20, 2015 at 4:18 PM
Why exactly DOL's latest action is so shocking to so many brokers -- and even ERISA lawyers -- despite years of warnings
Brokers managing IRA assets never imagined they'd need to make a written promise to do right by investors
April 20, 2015 at 5:42 PM
The White House puts its best Obamacare minds behind cleaning up the 401(k) business -- starting by issuing a withering memo
The executive branch's endorsement of the fiduciary rule is based on finding that Americans may have to work for an extra three years because of Wall Street overbilling
January 30, 2015 at 9:50 PM
Phil Chiricotti hangs up his spurs, and puts the CFDD out to pasture
The godfather of the 401(k) business says the glory days of conferences are winding down -- and tells why he chose not to sell the conference
December 30, 2014 at 3:58 PM
Warranties and guarantees come to the 401(k) game but can insurance really put the client first?
Unwilling to stomach new legal exposure, employers -- and their advisors -- are looking to buy protection
August 27, 2014 at 3:25 AM
How exactly Fidelity Investments extracted itself from a legal and HR quagmire and why it'll cost far more than the public $12-million amount
The settlement's small print reveals Fidelity employee may receive additional hundreds of millions of dollars in value over time
