Tags » RIA

Missing Participants in a 401(k) or 403(b) Plan: Enhanced Regulatory Guidance

The Department of Labor just released updated guidelines for handling missing and lost participant monies in a company sponsored retirement plan, particularly when the plan is closing down.  429 more words


Why employees need 401(k) investment advice

Employee Benefits News has an article with the headline explaining why employees need investment advice.  Here’s their reasoning:

While American employees appreciate having a 401(k) plan, the majority will likely spend more time planning for a new car purchase or vacation than researching their plan’s investment options.

212 more words
Financial Planning

Preparing for the unexpected.

What happens if you have to live on less income because you lost your job or your spouse died? The economy has not been kind to many people and job loss can happen before we’re ready to retire. 227 more words

Financial Planning

Choosing a financial advisor.

The current issue of Financial Advisor magazine has an article about the ranking of financial advisors. The issue they raise is an important one. The amount of assets that an advisor has is often used as a shorthand way of determining how “good” that advisor is. 201 more words

Financial Planning

RIA Custodians and Advisor Mobility: An Analysis [4/n]

Findings from the study – continued

Mobile offering features

(Click on the chart to view a larger version)

During the study, 54 features that were considered germane to mobile custodian offerings were considered. 229 more words


9mm 1911's - RIA, Springfield, and Dan Wesson shoot out!

What makes a better day at the range than 3 different 1911’s sitting on the bench?

I’ve recently purchased my dream gun, the Dan Wesson PM9, plus a project gun, the RIA 1911 Tact 2.   379 more words

RIA Custodians and Advisor Mobility: An Analysis [3/n]

Findings from the study – continued

Who gets access – advisors or investors?

(Click on the chart to view a larger version)

Custodians are building offerings that are investor-facing, in addition to being advisor facing. 386 more words