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Retirement Plan Advisors

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A place for those who work with employer sponsored Retirement Plans to meet and discuss the industry.
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No pitch, just some research for a client of mine. Aside from referrals, what is your biggest source of leads? Facebook? Google? Physical Mailers? Radio ads? Your own radio program? Something else?… more

Hey all! We are looking to add to our retirement plan services team. This is an admin/support role with no sales goals or cold calling. We are a $15b RIA with a $400mm retirement plan book to support.… more


With interest rates rising, I Bonds are back in the discussion. Thoughts?

Wondering what the industry average is for a client facing support role to a 401k Advisor? We help with 80 401k plans with assets over $250 million. I have my series 65 license and I feel as if I am u… more

With social security potentially running out, why couldn’t it be an option for the govt to put $5k for every baby that is born in a year into an account Invested in a govt share class S&P 500 fund… more


What is the future value proposition of the 401k Advisor in your opinion?


Talked to two major Recordkeepers this week and both of them said they are pricing their record keeping for plans with $20MM or more at a loss right now. What does that mean for the long term of 401(… more


Are u allowed to be an insurance agent while at PwC


Looking for whole life insurance. Who is better Mass Mutual or Northwestern or NY life?


Which recordkeepers do you think are best in the micro plan market? Looking for: - Open-architecture - Reasonable fee - User-friendly online portal - Good servicing - Allow own model creation


Thinking about all the fiduciary options: Participant 3(38), Plan 3(38) or 3(21), Admin 3(16). What can a RK provide that would help us win plans with you?


What is the best setup for Retirement Plan Advisors? RIA? B/D? Hybrid? Other?


What percentage of your clients are choosing to permit the CARES Act provisions into their 401(k) Plan?


Are y’all finding that HR is preoccupied with Coronavirus and not the (k) plan?


How big is your RP book? Do you consider yourself a specialist?


I’m 9 years in. Currently taking the educational requirement for CFP through American College. I feel like I can’t focus because I am not really learning anything. Any tips to keep eyes on prize?


How is everyone approaching educating current and potential clients on the Secure Act?


I have a village with 3 employees in a 457 plan. They want me to take over plan. Assets are under $200k. Who would take that?


Is anyone familiar with Wharton Group in Florida? Is this a scam?

Does anyone have a good book or resource on small business retirement plans that also explains the tax implications? Also, an easy tool that compares the options? EG: SEP, Solo 401k, DB plans...

Has anyone used the Warton Group to purchase 401k leads? How was your experience?

Where do you need the most support in your RP practice?

For those who cold call on 401k plans, what is your approach?


Which firms do good actuarial work for cash balance plans?

Recently attended an FA conf. where there was discussion about 401(h) plans & their tax advantages. I know a variety of 401(k) providers available via my B/D but don’t know of 401(h) ones. Do you… more

I’m finally taking steps to move from a service role into production. Nervous but excited. 401k plan background, so I plan to approach this market as a 401k specialist advisor. Best prospecting tips?


How do RIA retirement plan focused advisors feel about taking on new advisors to your firm? What do you look for in candidates? I’d like to get out of my corporate role, curious if this makes sense

Does anyone partner with any 401(k) robo-advisors like Guideline, Vestwell, Human Interest, Ubiquity, etc.? How are they compared to more established 401(k) providers? Pros/cons to any or all?


Which Investment Analysis and Reporting System do you use? What are the pros/cons?

Currently we only serve IRAs and brokerage accounts but our firm is looking to get into the retirement plan space. Can anyone offer advice, direction or a good place to learn more?


So... how can I become more involved with MEPs?

What are you doing to ensure profitability for small plans with limited comp?

Hoping to have a conversation with my dentist’s business manager spouse tomorrow about their 401k. They haven’t priced their plan in 15 years. What documents do I need to ask for to do the research?

Does anyone have thoughts on RPAG? Is it worth the cost? Is there something better?

Does anyone have any thoughts as to how Ascensus’ massive takeover of small, local TPAs will affect the industry long term?


I am potentially able to get in front of 4-5 of the “right people” to potentially take over some 401k plans. I have never ventured into this area. Any suggestions on where to start for...continued


I am currently working with a few 401k plans as their advisor on various platforms. If I end up going to an RIA, how do I handle this business?


What’s your tax strategy to minimize self employment taxes?


How do you get appointments with plan sponsors? They are hard to get in contact with and then 401(k) seems so low on their priority list or they "are happy with" (don't know about) their… more

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