Practice Management
Welcome to Advisor Alley! The NTSA Advisor will be running brief, bi-weekly articles intended for you, the financial advisors, who spend your time and effort serving your clients’ retirement needs.
This section is a place for a quick read about activities that advisors like you are engaging in to...
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A recent appellate court decision warrants a rethink of an excessive fee suit decision—at least that’s the argument being made by the plan fiduciaries.
The suit in question was filed by a group of participant-plaintiffs in the $5.354 billion Humana Retirement Savings Plan (represented by the law...
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After nearly a year of negotiations (though that’s a pretty short turnaound by some measures), the parties in an excessive fee suit have asked for the court’s approval on a settlement agreement struck by the parties.
The plan in question—more specifically the plan fiduciaries—involved are those of...
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Noting that “precedent has overtaken some of the debates in the case,” a federal appellate court has weighed in on an excessive fee case—affirming the rejection of most, but not all, of the plaintiffs’ claims.
The Case
The defendants in this case are the fiduciaries of Cincinnati-based...
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Editor’s Note: This is the third in a series of articles about the 2022 NTSA Elite Advisors. The first is here; the second is here.
NTSA congratulates NTSA 2022 Elite Advisor Carla-Ann E. Goedtke, CPFA™, CRES, for her outstanding and unique accomplishments. Goedtke’s firm, Investors Choice...
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Don’t hesitate! Do you know of an elite advisor who deserves to be nominated for the NTSA 2023 Elite Advisor Awards? The nomination period began last week and is under way!
The NTSA Elite Advisor Awards’ goal is to recognize the very ‘best of the best’ financial advisor members of NTSA who have...
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Editor’s Note: This is part of an ongoing series that provides a look at content available through the NTSA Advisor’s weekly MarketBeat feature, an archive of which is contained in the Industry Intel section of the NTSA website here. This installment concerns savings and income.
Retirement Income...
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NTSA 2023 Elite Advisor Awards nominations are open! The NTSA Elite Advisor Awards are significant lifetime achievement awards that honor NTSA financial advisor members who display the above characteristics.
Please nominate NTSA financial advisors with these attributes:
Best of the Best...
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Broker-dealers and advisors doing business in the Silver State will want to pay attention to newly proposed regulations defining the state’s fiduciary standard, as well as broader changes to practices and procedures.
Efforts by Nevada regulators to implement guidance defining the state’s...
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Editor’s Note: This is the first in a series of articles about the 2022 NTSA Elite Advisors.
NTSA congratulates NTSA 2022 Elite Advisor Virginia T. Harriett, CFP ®, CRES, for her outstanding, unique accomplishments. Harriett’s firm, Harriett Financial Group, Marlton, NJ, practices through Lincoln...
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A federal judge has ruled that the comparisons put forth as proof of a fiduciary breach were not “meaningful.”
The suit was filed late last year by plaintiff-participants Malika Riley and Takeeya S. Reliford, by and through their attorneys—Carey & Danis, Edelson Lechtzin LLP, and, Capozzi...
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Help us create an agenda for the 2023 NTSA Summit!
Using our interactive online voting tool, https://www.allourideas.org/2023ntsa you can send us your ideas for session topics or vote for suggestions already submitted. Here’s how it works:
The voting tool will present two session ideas for you...
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Last week American Retirement Association CEO Brian Graff sat down with Tim Hauser, Deputy Assistant Secretary for Program Operations of the Employee Benefits Security Administration (EBSA), for some insights and perspective on the DOL’s Compliance Assistance Release on cryptocurrency and the...
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Tech Talk addresses what procedures a 403(b) plan sponsor’s internal controls should cover.
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The average age of advisors has been increasing for some time, making succession planning a necessary consideration, but a new Cerulli white paper finds that many advisors don’t yet have a plan.
In fact, within the next 10 years, 37% of financial advisors—collectively controlling $10.4 trillion...
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Editor’s Note: This is part of an ongoing series that provides a look at content available through the NTSA Advisor’s weekly MarketBeat feature, an archive of which is contained in the Industry Intel section of the NTSA website here. This installment concerns serving clients and participants. ...
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One of the two enduring features of the NTSA Advisor is MarketBeat, which appears weekly and offers analysis of a matter relevant to, and important to, NTSA members and those whom they serve.
In fact, MarketBeat pre-dates the Advisor, having been made available to members in other forms before...
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While the Great Resignation may have lost a bit of its novelty, it certainly is not slowing down young professionals from evaluating their next career move, including the employer benefits that are most meaningful to them.
According to Fidelity’s 2022 Career Assessment Survey, 6 in 10 young...
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Hurricane season is looming on the horizon, but that is just one of the natural disasters that can affect a retirement plan and its sponsor. The IRS has issued some tips to aid in being ready for any eventuality.
Documents
Place original documents inside waterproof containers in a secure space...
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Springfield, Missouri-based O’Reilly Automotive, Inc. is the latest to draw the attention of the plaintiffs’ bar—or more precisely its $1.1 billion plan and 53,000 participants.
These plaintiffs—represented by Capozzi Adler PC (and FortmanSpann LLC) say that the defendants’ “mismanagement of the...
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