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Working with Today's Retirement Plan Advisors
Retirement Research Inc, Jan 2011
Working with Today's Retirement Plan Advisors Special Focus on RIAs and other Fee-Based Advisors
The role of advisors to 401(k) plans is in transition in response to rapidly changing plan sponsor needs and expectations and regulatory focus on fees and fiduciary issues.
This report sizes and segments the universe of active 401(k) advisors. It also explores key trends, including the shift from the occasional advisor to specialists, the move to fee-based compensation models, advisor assumption of a fiduciary role and the movement of specialists to non-traditional channels and how providers are responding to accommodate them. Implications for provider distribution strategy and structure are discussed.
Also includes a look at leading full-service BD expectations of platform providers, requirements for a product to be approved for sale and for a provider to become a preferred partner, ongoing due diligence process, financial and non-financial support expected and the movement within their organizations to accommodate retirement plan specialist advisors.
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