Articles tagged "Lou Harvey"
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Waving the flag of 'capital formation,' SEC promises to let the genie out of the bottle, allowing private funds in 401(k) plans; DOL silent
Right now, SEC limits which advisors can sell alts and who can legally buy them, blocking any realistic chance of putting $4-trillion 401(k) cache in Wall Street crosshairs
July 3, 2019 at 11:15 PM
How Fidelity used a robo-advice exemption to stick the landing as a fiduciary to 401(k) participants after the tumult of the DOL rule
The Boston king of DC plans had to withdraw from advising plan sponsors but followed a 12-year-old rule that permits a 'computer model' for the little guys
October 11, 2018 at 3:37 PM
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
Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo
Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom
June 6, 2016 at 9:47 PM
'Paradigm shift' in 401(k) flows opens the DOL door for annuities in 401(k) plans and RIAs are split
In the wake of DOL and Treasury rulings, some fiduciaries, certainly not all, seem willing to give the oft-reviled instruments a chance
October 28, 2014 at 6:27 PM
FINRA's scandalous litany of failures and its efforts to redefine the true fiduciary standard out of existence
Our one-man think tank continues his scathing indictment of the SRO's disingenuous and downright fraudulent practices
July 17, 2013 at 3:10 AM
Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race
DOL guidance is making a difference and so is bank and wirehouse reluctance to take on fiduciary risk
September 27, 2012 at 3:48 AM
After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers
It's the same old problem of mutual fund-paid fees arriving by tunnel and therefore getting a pass in disclosures; DOL no-comments the issue
June 18, 2012 at 3:28 AM
Private equity strikes again, this time quietly buying control of fi360 for $11.5 million
Bluff Point Associates principals liked the recurring revenues and bright growth prospects
April 10, 2012 at 5:41 AM
Merrill Lynch jumps on the fiduciary bandwagon in retirement plans but critics see lingering conflicts
Morgan Stanley, UBS and Wells Fargo Advisors already went this route but can wirehouses really deliver strict fiduciary care?
April 3, 2012 at 3:59 AM
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
Schwab to make long-awaited move in 401(k) market with an all-indexed mutual fund and ETF strategy
Market leader Fidelity not likely to mirror the move because of its legacy structure
February 10, 2011 at 2:50 PM
The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)
January 7, 2011 at 1:49 PM
Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity
Regulators' so-far soft approach on target date funds leaves door open for advisors to compete
November 30, 2010 at 4:35 AM
How advisors can position themselves for the coming 401(k) boom
Tips on becoming the educator of choice; and a framework for thinking about plan restructuring