Articles tagged "Jim O’Shaughnessy"
Headline
Publish date
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
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
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
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
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
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
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
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
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
May 22, 2012 at 3:41 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
Cerulli report: Specialized RIAs likely to win middle-market 401(k) plan battle
Gold-standard study shows fee-only adviser poised to take over
