Category Archives: 401(k) Plans

My latest article on JDSupra can be found here.

With news that Schwab intends to be in the all-ETF 401(k) market only means good news for those who believe that exchange traded funds (ETFs) will get a bigger foothold in the 401(k) market. While I have been skeptical of … Continue reading →

Having been in the retirement plan business for the last 12 years, I have learned something new almost every day and I’ve seen a lot of things that I could never believe I would see when I was an L.LM … Continue reading →

My latest newsletter geared to retirement plan advisors can be found here.

There was a recent article in the Wall Street Journal regarding 401(k) plans re-enrolling plan participants. Re-enrolling plan participants usually occurs when there is a change of the plan’s third party administrator (TPA) or a significant change in the plan’s … Continue reading →

My latest article on JDSupra can be found here.

Many retirement plan advisors and third party administration (TPA) firms have been harping about 401(k) plan administration fees and in a belief that fees should be transparent, we now have fee disclosure that will come into effect in July. While … Continue reading →

A few years back, I met a broker from my area and I developed a networking relationship with him in the hope of getting some ERISA related work when I was an associate at a Long island law firm.  I … Continue reading →

As many of you are aware, the producing TPA that I worked for was folded into a sister company TPA because of an ongoing Department of Labor investigation into its practices of steering clients to revenue sharing funds without disclosing … Continue reading →

The latest newsletter for clients, friends, and partners of my firm can be found here.