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Adviser Report
May 2008 PDF
  • Message from the Firm
  • The Impact of 408(b)(2) on Advisers
  • Advisor Do’s and Don’ts
  • The Implication of the 408(b)(2) Proposed Regulation—Disclosing Fiduciary Status
  • What about LaRue?
  • QDIA Notices—Who’s Responsible?
  • Real World Issues for Advisers, 408(b)(2), Agreements and Fiduciary Status

    December 2007 PDF

  • Message from the Firm
  • ERISA Spending Accounts
  • An Interesting Question: Investment Managers and IRAs
  • Advisor Do’s and Don’ts
  • New Disclosures of Adviser Compensation Required on Form 5500
  • Postscript: New Proposed Service Provider Regulations
  • What to Do With Prior Default Contributions?
  • The New QDIA Regulations: More than Meets the Eye
  • Academic Studies On Participant Behavior
  • Are Stable Value Investments “Stable Value” Under the QDIA Regulation?
  • DOL Advisory Opinion 2005-23A: A Trap for Advisers
  • Up-Selling To Plan Participants

    September 2007 PDF

  • Message from the Firm
  • Uncovering Fee Disclosure
  • GAO Investigation of Fiduciary Practices
  • Improving Participation
  • Testimony Before DOL Advisory Council
  • The Duty to Remove Investments
  • Adviser Do's and Don'ts

    February 2007 PDF

  • Message from the Firm
  • Fees and Compensation of Advisers and Providers
  • Investment Advice: Understanding the Rules
  • 401(k) Fees: The Next Big Thing
  • The Duty to Know

    July 2006 PDF

  • Message from the Firm
  • Safe Investments: Part 1
  • Advisor Do’s and Don’ts
  • Excessive Commissions
  • Disclosure of Fees
  • Safe Investments: Part 2
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