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SunGard to Go Public
In 2005, seven companies bought financial software provider SunGard. Fast forward 10 years: on June 3, SunGard filed a Form S-1 with the Securities and Exchange Commission to go public. The filing says...
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RIA Growth: More Than Markets
While market returns played an important role in the significant gains in AUM and revenues last year, a new report finds that RIAs have experienced nearly half of their growth in assets under...
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When Should You Fire a Client?
A defining moment for most entrepreneurs is when they fire their first client. It signals a shift from chasing revenue at any cost to knowing yourself and your value and understanding that a client may...
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Elite Plan Advisors Cooking up Small Plan Solutions
As margins continue to shrink for advisors working with mid-size and larger plans, many so-called “Elite” advisors are going back to their roots, looking to work with smaller DC plans. Let’s examine...
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The Evolution from Broker to Plan Advisor to Business Person
It seems that we are at the end of the second of three phases in the evolution of the DC plan advisor, many of which started out as stockbrokers or insurance agents and found that the DC market was...
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What’s Ahead for DC Asset Management?
Speaking at GRP Advisor Alliance’s Participant Outcomes & Financial Wellness Summit in Phoenix on Jan. 16, Charlie Ruffel, founder of Asset International and now head of a private equity fund that...
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Opportunities Abound for Elite Advisors – Will They Wake Up in Time?
Though the DOL conflict-of-interest rule will no doubt cause headaches, those in the best position to benefit from the changes are Elite Plan Advisors, especially those who are part of a larger group....
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Why Plan Advisors Aren’t Rushing into the Benefits Market
Many experts are predicting that the convergence of retirement plans and health benefits, spurred on by the ACA, high deductible health care (HDHC) plans and health savings accounts (HSAs), offers huge...
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PE Firm Acquires Majority Stake in NFP Advisor Services
NFP has entered into an agreement with funds managed by private equity firm Stone Point Capital LLC. As part of the agreement, Greenwich, Conn.-based Stone Point will acquire majority ownership of...
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Government and 403(b) Market Growth Expected to Spike
If you’re not looking at the not for profit (NFP) or government retirement market, you’re missing out on a significant opportunity, according to a recent Cerulli report. Projected to grow 7% annually...
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Is There a Down-Market Opportunity for Elite Advisors?
In an article earlier this year, I reviewed what the small plan (<$3 million) market might look like in the future. But will Elite Advisors that have moved up-market be able to take advantage? Let’s...
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The Great Untapped 401(k) Buyer’s Market
Following my own advice to go to events where I know very few people, this week I am attending the SHRM national conference in DC with more than 14,000 attendees, mostly HR professionals, and hundreds...
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Inside the Minds of HR Professionals
The great untapped (by advisors) mid and small plan HR or benefits professional market includes more than 100,000 DC plans with $3 million-$250 million. What are they like? What are the challenges for...
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DOL Rule an Opportunity for Elite Advisors with Small B/Ds?
While most of the industry is complaining about the cost and time required to comply with the DOL’s conflict of interest rule, some Elite Plan Advisors see an opportunity. But is this opportunity real?...
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Fiduciary Training: An Opportunity for Elite Advisors
Whether driven by the rash of DC lawsuits, the DOL conflict-of-interest rule or fear of fines and audits, plan sponsors are more concerned about their fiduciary liability. Rarely does a member of the...
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Will the DOL Rule Offer Elite Plan Advisors More Small Plan Opportunities?
It’s logical to assume that the new DOL rule will offer Elite Plan Advisors (more than $250 million in DC AUM and 10 plans) more opportunities in the small plan market. That would be true either...
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Take Advantage of These 6 ‘Low-Hanging’ Opportunities
Advisors and plan sponsors should be taking advantage of the “low-hanging” opportunities that still exist, says industry insider Steff Chalk. In his most recent column in NAPA Net the Magazine, Steff...
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3 Email Subject Lines That Will Kill Your Chances of Winning a New Client
How many times have you gotten an email with one of these three subject lines? I’ve received dozens of emails like this and am guilty of sending a whole bunch of them too. They are: “Checking In”...
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CAPTRUST, CapTrust Advisors Reconnect
Tampa, FL-based investment advisor CapTrust Advisors has joined the CAPTRUST family. The combined organization will now operate in 34 offices nationwide and advise on more than $243 billion in client...
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Chasing After Health Savings Accounts?
A growing number of plan advisors are salivating over the next big thing: being able to have not only retirement assets under management, but also all the assets that their clients’ employees might set...
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