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ERISA Nerd | Enhance Your Practice Today – Learn More 0 Skip to Content Open Menu Close Menu Open Menu Close Menu Kevin Clark 5/7/26 Kevin Clark 5/7/26 The Ultimate Guide to "Held-Away" 401(k) Advice: Staying Compliant While Growing Your Practice Let’s be real: few things are more annoying for an advisor than seeing a big chunk of a client’s wealth trapped inside a 401(k) you can’t directly manage. You’re building a financial plan with one hand tied behind your back. You can’t see the fund lineup their employer chose, the stale allocations, or the lack of rebalancing. And the second you start talking about managing it? Compliance starts sweating. You’re not crazy. Held-away 401(k) advice really is one of the messiest corners of wealth management . . . Read More Kevin Clark 4/15/26 Kevin Clark 4/15/26 Alts in the 401(k): Navigating the DOL's New Rule on Private Equity and Crypto Read More Kevin Clark 3/26/26 Kevin Clark 3/26/26 The DOL 5-Part Test is officially back , Why 'one-time' advice isn't the free pass some advisors think it is Read More Kevin Clark 2/11/26 Kevin Clark 2/11/26 Best practices for 401(k) fiduciary financial advisors under ERISA law Meta: Learn the top best practices for 401(k) fiduciaries, including compliance, what tasks you must carry out to protect your clients’ 401k accounts, and what it means to be an ERISA fiduciary. Read More Kevin Clark 12/13/25 Kevin Clark 12/13/25 Fidelity Schwab vs. Pontera — the “WHY”! Much has been written about this David V

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