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Fiduciary Rule Driving Advisor RFP Activity

So far this year, CAPTRUST has received more than 120 advisor requests for proposal (RFPs) from retirement plan sponsors evaluating their current advisory relationships or seeking to hire advisors. This activity level represents the highest volume of RFPs CAPTRUST has experienced since it began formally responding to advisor RFPs in 2002. The activity also represents a 25 percent increase over the same period last year, the highest year-over-year percentage increase since 2009.

The 2009 increase was driven by plan sponsors attempting to determine the financial solvency and stability of advisory firms in the wake of the financial crisis that began in 2008. According to CAPTRUST Marketing Director Greg Middleton, “The increase in 2017 activity correlates with plan sponsors’ desires to prepare for compliance with the Department of Labor’s conflict of interest rule—also known as the fiduciary rule—on June 9.” At this pace, CAPTRUST will respond to more than one advisor RFP per business day in 2017.

“Plan sponsor interest has risen as the rule’s applicability date has approached. Meetings, proposals, RFPs, and finals are all at record levels,” Middleton continued.

Click here for information about conducting an advisor RFP.


CAPTRUST Financial Advisors is an independent investment research and fee-based advisory firm specializing in providing retirement plan and investment advisory services to retirement plan fiduciaries, executives, and high-net-worth individuals. Headquartered in Raleigh, North Carolina, the firm represents more than $240 billion in client assets with offices in Alabama, California, Connecticut, Florida, Georgia, Iowa, Michigan, Minnesota, New York, North Carolina, Ohio, Pennsylvania, and Texas.


Upcoming Webinar! Rising Interest Rates

In this upcoming webinar, CAPTRUST Defined Contribution Practice Leader Scott Matheson and colleagues Jennifer Doss and David Hood will present their views on what plan sponsors need to know about rising interest rates and the impact on retirement plans.

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Press Releases

CAPTRUST Merges with Knox Capital Group

CAPTRUST, one of the nation’s leading wealth management and institutional advisory firms, announced that Salt Lake City-based Knox Capital Group, one of Utah’s premier wealth management firms, has joined the family, bringing with it over $300 million in client assets.

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VESTED, Winter 2018

We are pleased to announce that the Winter 2018 issue of VESTED, CAPTRUST’s magazine for clients and friends, is now available. Subscribing clients will receive their copies in the mail this week. If you are interested in receiving VESTED Magazine, please let us know via email.

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