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Recent Posts
- May It Please The Court: THE EBSA’s Legally Unsupported, Unfounded, and Bootstrapped Policies Create a Systemic Threat to Plan Participants and Plan Sponsors Alike and Must Be Rejected
- A Call for Senate Oversight Hearings: The Systemic Risk to Plan Sponsors and Plan Participants Created by the EBSA’s Expansive and Legally Unsupported Extrapolations of ERISA Fiduciary Principles
- DOL/EBSA Field Assistance Bulletin 2026-01 Is Not Entitled to Judicial Deference Under The Loper Bright Decision
- Fatally Flawed: Why DOL Administrative Bulletin 2026-01 Will Not, and Should Not, Withstand Judicial Scrutiny
- Terminal Wealth: The True Fiduciary Prudence Paradigm with Regard to the In-Plan Annuity Scam
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Category Archives: 401k investments
Seeing Is Believing: Marketing to Plan Sponsors
One of the most common questions I get is from advisor is how to convince plan sponsors that they need to review their plan for potential compliance issues. When I ask plan sponsors what it takes to get their attention, … Continue reading
The Active Management Value Ratio™- Revealing the Undisclosed Cost of Actively Managed Mutual Funds
Despite overwhelming evidence that actively managed mutual funds generally under-perform passively managed index funds, the evidence indicates that most investors continue to purchase and hold actively managed funds. Even when an actively managed fund does outperform its relevant index, the … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA Compliance, securities, securities compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, asset allocation, compliance, fiduciary, fiduciary law, investment advisers, investment analysis tools, modern portfolio theory, portfolio optimization, retirement plans, RIA, RIA compliance, risk management, securities compliance, suitability
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Is ERISA Section 408(b)(2) the New 401(k) Fiduciary’s Achilles’ Heel
On July 1st, the disclosure requirements of ERISA 408(b)(2) go into effect with regard to plan providers and plan sponsors. Disclosure requirements between plan sponsors and plan participants are scheduled to go into effect at the end of August. Plan … Continue reading
Posted in 401k, 401k compliance, 401k investments, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA, RIA Compliance
Tagged 401k, 401k compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, retirement plans, RIA compliance, securities compliance
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The Prudent Investment Fiduciary Rules 