401(k) Specialist Issue 1 - 2016 - 3

CONTENT
14
VOLUME 2 - ISSUE 1 2016
Features
14 FIDUCIARY: How to (Not) Get Sued
Industry crusader or sector pariah? Tort terror Jerry Schlichter causes angst and anxiety about
long-held industry practices, and makes a heck of a living doing so. Here's how 401(k) advisors
steer clear.
20 TARGET DATE FUNDS: 401(k) Target Date Titans
Glide path issues are a thing of the past, and innovation in the target date fund space
continues to excite. Here are the fund families that 401(k) advisors can confidently look to for
help with their plan sponsors and participants.
26 STABLE VALUE FUNDS: As Steady as They Come:
The Return of Stable Value Funds
Its reputation recently took a hit, but money market worries and the resulting reform have
stable value back on track. Who's doing it right and, more importantly, how can it help 401(k)
advisors build safe(r) portfolios for participants?
32 COLLECTIVE INVESTMENT TRUSTS:
The Explosion of Collective Investment Trusts
Once largely ignored, or rendered completely unaware, by 401(k) advisors, CITs are now
getting noticed. What's it mean, and why did it take so long?
36 INVESTMENTS: New Kid in Town:
How to efficiently offer SMAs in 401(k)s
Separately managed accounts are good for high-net-worth clients, so why not 401(k)
participants? New technology is now available to make it happen.
Departments
6 Editor's letter
8 401(k) News You can Use
11 The Fiduciary File
40 The Fund Watch
Vol. 2, No. 1 @ 2016 by 401K Properties, LLC (ISSN: 2379-6405). All rights reserved. 401(k) Specialist is published
quarterly for a total of 4 issues per year, by 401K Properties, LLC, 6334 S. Racine Cir., Suite 200, Centennial, CO 80111.
POSTMASTER: Send address changes to 401K Properties, LLC, 6334 S. Racine Cir., Suite 200, Centennial, CO 80111.
Reproduction or reuse of any part of the work is strictly forbidden without written permission of the publisher.
ISSUE 1 2016 | 401kSpecialistmag.com 3
24
32
Columns
13 Advisor Voice
Aliso Viejo, Calif.-based Kelly Amato,
director of retirement plans at NFP, an
insurance broker and consultant clues
us in on a new approach for achieving
successful 401(k) participant outcomes.
25 Client Connection
How often should advisors meet with
plan sponsors, and what should they
include in the quarterly monitoring
report? Mario C. Giganti, an owner and
chief investment officer of Cornerstone
Capital Advisors, lets us know.
30 Investment Insight
Merve Akbas, a behavioral scientist at
Morningstar, Inc., surprises us with a
frank discussion of why 401(k) plans
fail. Trust us when we say it's not what
you think.
31 Provider Perspective
Gordon Tewell, CFA, CPC, a principal
with Denver, Colorado-based Innovest
Portfolio Solutions, provides our 401(k)
advisor readers with a case study
on the evolution of a responsible
retirement plan.
44 The Close
Embrace change-or else. ERISA
expert Ary Rosenbaum tells how 401(k)
advisors embrace and capitalize on
industry and regulatory change.

http://www.401kSpecialistmag.com

401(k) Specialist Issue 1 - 2016

Table of Contents for the Digital Edition of 401(k) Specialist Issue 1 - 2016