Articles tagged "Sheridan Road"
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LPL Financial's DOL-rule memo to reps implies deeper message: Become an RIA or stand down on giving rollover advice
The 'deep-pocketed' broker-dealer puts its Series-7 brokers on notice to forget about suggesting a rollover even as it gives its hybrid RIAs a strict protocol to stay out of trouble
July 5, 2017 at 8:02 PM
LPL Financial lets go of David Reich to pull its crucial $135-billion 401(k) division into a central service and branding sphere
The head of the unit exits amid advisor chatter that the hyper-channelization of LPL sometimes makes six phone calls necessary when one would do
June 26, 2017 at 9:34 PM
How Bill Hamm is turning a $10 billion-plus loss of 401(k) assets into a revenue-neutral, neural-neutral experience
After cleaning up his compliance act with an LPL assist, the head of Independent Financial Partners is fighting back
April 10, 2015 at 7:48 PM
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
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
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
