November 22, 2010
In Categories

Bundled 401(k)s May Be Ripping Off Your Clients

A new DOL regulation will ratchet up the scrutiny of bundled 401(k) plan fees. You can help your plan sponsors—and potentially their plan participants—by guiding them through the pros and cons of bundled vs. unbundled services. In the process, you can also deepen your relationship with them.

Bundled services are a single company providing all 401(k) plan services including administration, recordkeeping, custody, investments, and investor education—packaged together as one fee. Traditionally these services have been positioned as one-stop shopping or 401k in a box, offering simplicity, brand names and low costs. It’s been reported that bundled services have around two-thirds of the small plan market.

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I specialize as a 401(k) named fiduciary for plan sponsors who need to outsource their fiduciary duties. I quarterback the process and elevate investment committees to expert stewards in spite of the financial chicanery that dominates the industry. Early in my career I worked as a suitability investment adviser (more commonly known as a broker) for Prudential Securities, PaineWebber and Dean Witter where I was promoted to First Vice President and earned President's Council and Pacesetter Club recognition. Find me on LinkedIn