401(k) Real Talk Episode 212: October 14, 2026
The episode collects the week's defined contribution news in one place for advisors who work with plan sponsors or try to turn plan relationships into wealth clients. Several items touch on regulatory enforcement, recordkeeping arrangements and retirement income adoption, all of which sit inside the plan advisor's remit.
Summary
By the retirement & income deskEpisode 212 of 401(k) Real Talk is a weekly news roundup in which Fred Barstein, contributing editor for Wealth Management's RPA channel, reviews the prior week's retirement plan industry news and picks the five most important or interesting stories. Items include Cerulli and Morningstar research on advisors converting plan relationships into wealth management clients, House Democrats pressing EBSA on staffing and enforcement, Aon naming Vanguard as recordkeeper for its PEP, and coverage of advice and education in retirement income adoption. A secondary reading list covers employer questions about 401(k) advisors, high earners no longer maxing out contributions, a Morningstar AI research pla
- Cerulli and Morningstar research finds advisors struggle to convert retirement plan relationships into wealth management clients
- House Democrats are pressing EBSA for answers on staffing and limited enforcement capabilities
- Aon selected Vanguard as the next recordkeeper for its pooled employer plan
- The episode covers advice and education as drivers of retirement income adoption, and a column on why TPAs are 'suddenly sexy'
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