News & Analysis as of

Benefit Plan Sponsors Third Party Administrators Fiduciary Duty

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Be Choosy When Picking Your 401(k) Plan’s TPA

I was very lucky that when I started as an ERISA attorney in 1998, I worked as a staff attorney for a third-party administrator (TPA). It gave me insight and experience that I could never have gotten as an attorney working...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Tales Of The TPAs: The Good, The Bad, And The Ugly

As I have always said, the most important 401(k) plan provider you can hire is a Third-Party Administrator (TPA). That’s because a TPA does so much work, and their incompetence can lead to you getting penalized or forcing you...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

You don’t have as much leverage as you think

As a plan fiduciary, I still can’t believe it. A Third Party Administrator (TPA) we terminated was trying to hold us up for valuations and a Form 5500 we paid for, as part of, annual administration. It was $80,000....more

Jackson Lewis P.C.

Health Plan Hygiene Part 4 – Show Me the Money

Jackson Lewis P.C. on

Our “health plan hygiene” series has focused on steps that fiduciaries of employer-sponsored group health plans can take to ensure they meet their fiduciary responsibilities. This issue has been brought to the forefront...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - November 2022

Unfiltered 401(k) Views On What Is Going On Now - For years, dating back to college and law school, I had an unfiltered view of things. I have strong opinions and the opinions are based on my experiences. The problem,...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review - Volume 13 Issue 6, June 2022

Organization Ideas For 401(k) Plan Sponsors To Limit Liability Organization tools always pop up for sale after New Year’s because a lot of people want to try to keep their resolutions. My local Costco always trots out the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review

The Problems With Free and Small Retirement Plans - There is no such thing as a free lunch. There is no such thing as free advice. The more years I spend in the retirement plan business; I know that there is no such thing...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Telephone, telegraph, tell a plan provider

I worked at the college newspaper and if you said something to one staff member, they would tell someone else in 5 minutes. However, like the game of telephone, the story would get misconstrued. I remember telling someone...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review - August 2021

You Have To Deal With Some Unpleasant Facts About Your 401(k) Plan. The greatest benefit you can provide as an employer is a qualified retirement plan, such as a 401(k) plan. The problem is that most employers treat a...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Assets being stolen, it can happen, it has happened

A third-party administrator (TPA) and/or plan fiduciary stealing plans assets is easier than you think. TPA Vantage Benefits stole $14 million from 6-7 of their clients wasn’t be surprising to me because I saw it before with...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

It’s amazing how bad administration can be

Most administration conducted by third-party administrators (TPAs) is quite good, but the juicy and scary stories are about the terrible TPAs and the havoc they create....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review - February 2021

The Problems and Perils In Changing Your 401(k) TPA - I hate moving and I’ve only had to do it a handful of times in my life. I’ve always said that moving can be a traumatic experience. Packing away items over time isn’t...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - December 2020

Big Concepts That 401(k) Plan Providers Forget About. Whether it was working for others or working for charitable organizations, it seems that there is a culture out there that seems to forget why these businesses and...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Don’t let grudges get in the way of doing right

I always joke that I get rid of old grudges to make way for new ones. Recently, an advisor asked about a well-known third-party administrator (TPA) for a plan that I serve as a fiduciary. This TPA has a very good reputation...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Check the provider’s credentials

After Hurricane Sandy decimated my house with five feet of water downstairs, I needed to replace our hot water heater and furnace. My plumber got us a new hot water heater, but couldn’t find a new furnace. A neighbor had a...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The problem with flat fee billing

When I was a law firm associate, my most painful part was filling out my timesheet. Trying to fill it out before I’d get in trouble with the powers that be was the worst part of the month. There has to be a better way to...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Experience can mean a lot of things

I always talk about how plan sponsors need to work with experienced financial advisors, third party administration (TPA) firms, and ERISA attorneys on their plan needs. Like with reasonable fees, I believe that the term...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

You Can Learn Something New Every Day

As an ERISA attorney, I always have an open phone policy with plan sponsors, financial advisors, accountants, TPAs, and other attorneys from around the country on questions they may have about their plan or a client’s...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review - June 2020

Hiring Your Payroll Provider As Your 401(k) TPA? Forget About It . Every year, I say the same thing. 10 years ago, I first wrote about the dangers of hiring a payroll provider as your 401(k) third-party administrator...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Plan Symptoms and When It’s Time to Review

As many of you know, I offer a Retirement Plan Tune-Up, a legal review for $750 that reviews the documentation, administration, costs, and the fiduciary process of a retirement plan....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

ERISA Attorneys have to provide real value

10 years in, I’m glad I went on my own as an ERISA attorney, so I could provide value to clients, instead of being wedded to a billable hour because of a huge overhead working for a law firm. I have championed the use of...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Don’t be a Schnorrer

The first time I heard the word Schnorrer, I was 7 years old and my parents took me on a trip to Mystic, Connecticut. During those days, the Connecticut Turnpike had eight toll booths from Greenwich to Mystic. It felt that...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - October 2019

How To Be A Big Thing In The 401(k) Plan Business Or Play One On TV. You may not be able to handle it. As a retirement plan provider, you need to stand out in the crowd be- cause of the competitive nature of the...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.

Retirement Plan Advisors Advantage - March 2019

A Plan Provider's Guide On How Not To Die (Sorry Lois). Get busy living or get busy dying. I started my own practice about 9 years ago because I was involuntarily liberated from my position as an associate at a...more

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