News & Analysis as of

Third Party Administrators Fees

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Contractor pleads guilty to TPA skimming operation

I always say that you have better chances not getting caught by robbing a bank than you do by stealing money as a plan fiduciary. Yet, people still do it and come up with some amazing ways to get away with it. This new story...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Plan providers and the beauty of a direct fee

For my first year of law school, I had a renowned criminal law professor. He had a penchant for ties and an odd love for Melrose Place (I was a Dallas guy myself). For his final law exam, the fact pattern for the final exam...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - April 2019

As A Plan Provider, How You Can Think Outside the Box. You have to be creative. Being a retirement plan provider isn't easy and one of the reasons it isn't easy is because it's so competitive. As I always say, there is...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

As an advisor, it’s not just about fees and fiduciary duty

I know of a financial advisor for a very long time, so long that he was focusing on fees, good fiduciary management, and fund performance, way before fee disclosure and other advisors made it fashionable....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - July 2018

A Plan Advisor Should Be Careful About Their TPA Referrals. They need to. There was a time when a 401(k) financial advisor could get 75 to 100 basis point working on a plan, those were the days of wine and roses. Now...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Stating The Obvious On Fees

The 401k Averages Book is one of the great publications in the retirement plan business and I recommend it. I won’t recommend a report they just did because it was stating the obvious....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Focusing too much on Plan fees isn’t healthy either

I remember as a kid that there was move to use margarine because of the cholesterol that was in butter. Who can forget those talking Parkay carton commercials? Of course, we later learn that many margarines had high amounts...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The $550 TPA is no Advantage

When I was a kid, I remember my parents were shopping for a car and the sticker price had a base fee for the car with so many add-ons that I seriously wondered whether they would charge you for the steering wheel. As with...more

Ballard Spahr LLP

HHS and IRS Release Updates on the SHOP Marketplace, Fees, Taxes, and Payment Parameters

Ballard Spahr LLP on

Before departing for the 2013 Thanksgiving holiday, the Obama administration released several new regulatory announcements and guidance relating to the implementation of the Affordable Care Act (ACA). The new guidance delays...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

So You Want To Be A 401(k) Financial Advisor?

Whether you are financial advisor who is not in the 401(k) business and wants to be in it or you’re the financial advisor who wants to dramatically increase their small book of business, this is the perfect time. With...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Austin 3(16) Fiduciary: Outsourcing Your Retirement Plan and its Liability at a Reasonable Fee

Running a business is a complicated activity. You have to be an expert in your field, service, or specialty. In order to get your work, there is a point where you will need to outsource some key employer functions such as...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Another 10 Major Misconceptions Plan Sponsors Have About Their Retirement Plans

Throughout history, there have been misconceptions that people believe in (even until this day) despite the evidence to the contrary. Mrs. O’Leary’s cow didn’t start the Great Chicago Fire of 1871 and Benito Mussolini didn’t...more

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