Monthly Archives: August 2023

My latest article on JDSupra.com can be found here.

The last real estate closing. I ever did the purchase of my home because of the unprofessionalism of the seller’s counsel. It soured on my closings and the real estate agent, who said nothing when she referred that attorney, to … Continue reading →

I know quite a few advisors that get upset when a plan provider is inching toward being a full competitor. It could be the third-party administrator getting into the RIA business or vice versa. When you’re a bigger plan provider … Continue reading →

You’re at a sales meeting and the current plan provider is just doing a terrible job of working on that plan. You’ll be better, you’ll be less expensive, and you nailed it during the pitch. You don’t get the gig, … Continue reading →

One of SECURE 2.0’s interesting provisions was that people who are highly compensated employees (HCEs) will be forced to make the catch-up contributions they want on an after-tax basis. That provision was a revenue generator for the Federal government, which … Continue reading →

The Department of Labor (DOL) has filed a rule proposal that will make it easier to wind down retirement plans abandoned by employers and give plan participants access to their benefits. The notice filed with the Office of Management and … Continue reading →

My latest article for JDSupra.com can be found here.

Years ago, most financial advisors were not aware of their role as retirement plan advisors when it came to handling their plan sponsor clients. Most advisors were mailing it in, pocketing the quarterly fee without meeting with the client or … Continue reading →

My experience at law school could probably be summed up by one event. For first year law students, there is an event that everyone participates in and it’s called Moot Court where students argue a fictional appellate case in front … Continue reading →

I always believe that regardless of whether it’s business or regular day-to-day life, you can’t be everything for everybody. Being honest with that is only half the battle. Years ago, I met someone who was interested in starting a registered … Continue reading →