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Articles tagged "Jim O’Shaughnessy"


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Jason Roberts: What caught me off guard is that Fidelity says it is going to give advice to plans and participants.

Why exactly Fidelity chose 2018 to levy visible .05% 401(k) surcharge on Vanguard funds

After an abrupt business model shift from recordkeeper to advisor, the Boston-based 401(k) king may be a leader in fee 'levelization' that encourages other fund firms to act

February 9, 2018 at 6:10 PM

Louis Harvey: One of the big things that RIAs had from day one was they could say they always put clients' interests first and now that argument is pretty much shot to hell.

How Merrill Lynch 'shot to hell' the RIA fiduciary citadel by casting its $7.5 billion fiduciary 401(k) unit as smaller, purer and more future-minded on paper

Despite FAS having fewer 401(k) assets than, for example, a single North Carolina-based RIA, CAPTRUST, the Charlotte-based Bank of America's brokerage unit has created a new competitive threat

December 16, 2017 at 12:20 AM

Bill Hamm: We can do it at significantly less cost than what I was paying LPL and they are fine with it.

LPL restores OSJ rights to $35-billion AUA super-rep that just kept growing during its three-year ordeal

By taking compliance back in-house, IFP slashes its $1 million compliance budget in half and gains a lost flexibility, according to founder Bill Hamm

July 11, 2016 at 6:12 PM

Michael Kreps: The DOL is allowing states to set up automatic enrollment for IRAs without triggering ERISA rules. This is setting up an unfair advantages.

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

Bing Waldert: They can go to the guy they trust and just use that person.

Report: 'Brother-in-law' dabblers are giving 401(k) ground slowly to specialists in $1.3 trillion market

Some RIAs disagree with Cerulli's pessimism and say DOL is having its effect with small employers seeking real experts to provide 401(k)s to employees

September 17, 2015 at 6:36 PM

Jason Furman's memo: The proposal allows businesses to continue using existing, conflicted business models but requires that they adopt additional consumers protections such as ensuring advisors follow a best interest standard.

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

Bob Reynolds: Empower was clearly the one the first time we heard it.

The second-largest 401(k) provider drops 'Great-West' for 'Empower'

The name chosen for the second-largest retirement firm hits a mark but may face the challenge of seeming jargony

October 30, 2014 at 6:44 PM

William Hamm Jr. may shift his firm's value proposition.

An LPL super-client hits 'pause' on recruiting after an SEC inquiry and LPL is playing a parental role

Despite the scare, LPL stands by this OSJ and wants to support these explosive growers

March 15, 2013 at 5:47 PM

Fred Reish: The object isn’t to punish people who really wanted to do the right thing.

Erring 401(k) plan advisors seek do-overs from DOL to ward off potentially crippling fines

A proposal from leading ERISA attorneys would let RIAs say mea culpa on misinterpretations and technical fouls in the wake of new fee disclosure rules

October 22, 2012 at 3:02 AM

Joe Masterson: It's always bugged me that passive investors weren't paying their fair share.

RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue

Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem

September 20, 2012 at 5:01 AM

Anne Tuttle:  We’re happy to see more information provided to sponsors.

How giant advice provider Financial Engines can sweep the 401(k) field -- or not

It has $53.7 billion of assets under its managed account platform, but how the new DOL disclosure rules, competition from Morningstar and Schwab's bet on GuidedChoice play out will be very telling

May 22, 2012 at 3:41 AM

Lou Harvey: It's really going to annoy the hell out of the plan sponsors.

Which three of DOL's new 401(k) rules represent the biggest land mines for financial advisors and plan sponsors

Accepting gifts, estimating fees and using asset allocation models all demand treading lightly

February 14, 2012 at 6:06 AM

Jim O’Shaughnessy says his company has been transitioning to a fee-based business since December 2006

Cerulli report: Specialized RIAs likely to win middle-market 401(k) plan battle

Gold-standard study shows fee-only adviser poised to take over

April 14, 2011 at 3:20 PM

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