Library

Margaret Jeffries, CFP®

Wealth Management Consultant

Financial Planning » Rollover Reminder: Deadline Approaching

August 17, 2020 | Financial Planning

As the end of August quickly approaches, it’s worth reminding retirement account owners and beneficiaries that they have until the end of the month to return (rollover) any Required Minimum Distribution (RMD) amounts withdrawn so far in 2020. Individuals should also ensure that they’ve …

Rebecca Galliford, CFP®

Wealth Management Consultant

Financial Planning » Regulation Best Interest and Form CRS

July 27, 2020 | Fiduciary

Form CRS (Client Relationship Summary) and Regulation Best Interest (Reg BI), new regulations adopted by the Securities and Exchange Commission (SEC) a little over a year ago, became effective June 30, 2020. SEC-registered Broker dealers and investment advisors must deliver Form CRS to retail …

James Esposito

Qualified Plans Consultant

Library » Regulatory FAQs: Cash Balance Plans

October 27, 2018 | Retirement Plans

Cash balance pension plans are growing in popularity, but I don’t know much about them. How is a cash balance plan different from a traditional defined benefit pension plan? It’s best to start this discussion with an illustration. If you were given a choice between the following two pension …

Markets & Economy » The First 100 Days, an Investor’s Perspective

May 01, 2017 | Market Commentary

Markets rode a roller coaster during President Trump’s first 100 days in office. Upon inauguration, confidence hovered near its post-recession peak and continued to grow upbeat. This helped support markets, which hit all-time highs shortly following the president’s well-received Congressional …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 13: Fiduciary Fee Reasonableness

March 08, 2017 | Retirement Plans

Fee reasonableness is a fundamental and widely discussed fiduciary topic. Despite the importance of the topic, the Department of Labor (DOL) hasn’t given much insight or guidance as to what is considered a reasonable fee. As a result, much of the interpretation of what is and is not reasonable …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 13: Breaking Down CITs

March 08, 2017 | Retirement Plans

Recent notable court cases which talk about at least considering Collective Investment Trust Funds (CITs) include Ameriprise Financial and Lockheed Martin – both with settlement agreements stipulating that plan sponsors consider using CITs in the plan. CITs are often less expensive to create/ …


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