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Jane White

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What's the Best Fix for Your "Underfunded" and Poorly Managed 401(k) Account?

Posted: 10/12/10 01:55 PM ET

Workers in France are taking to the streets to protest the fact that they will have to stay in the workforce for a few more years -- as opposed to Americans, most of whom have to keep plodding along for a couple of decades but don't realize it.

Ironically enough many public sector workers in the U.S. observe National Save for Retirement Week Oct. 17 to 23, despite the fact that most of them don't have to save much because they are covered by a pension, as opposed to only the "pretend pension" known as the 401(k) plan. More than 80% of the public sector is still covered by a pension, as opposed to less than 10% of the private sector.

While the Pew Center on the States recently issued a report entitled "The Trillion Dollar Gap" contending that most of the state pension plans are under water, AFSCME Secretary-Treasurer Lee Saunders insists that the combined deficit represents less than 2% of state and local government spending and will remedy itself once the economy rebounds.

Saunders is also one of the few Americans that understands that it's the "underfunding" of 401(k) plans that is the train wreck that nobody's talking about. As Saunders points out in his recent blog post, the median 401(k) account balance is less than $13,000. As I've pointed out, the scarier statistic is that the first wave of Boomers who are scheduled to start retiring next year have only accumulated one fifth of the "ten times final pay" in their accounts that pension actuaries say savers should aim for.

Saunders says we should consider fixing 401(k) plans by looking at strategies that "combine the portability features of 401(k) plans with professional investment management." While I still think the most important fix to the savings shortfall is to triple the measly 3% employer contribution (which these days is likely to be "suspended"), maybe we should also consider firing the folks that manage 401(k) assets as well.

How about offering 401(k) savers an option to invest their funds in a government run 401(k) plan similar to the Thrift Plan, which manages low-cost index funds for three million federal and civil servants? Maybe we ought to go a step further and pool the assets, rather than have individual accounts, in which participants often make poor investment decisions.

Frankly, this shift to passive management would be a good fix for private sector workers AND state workers. Let's face it, "professional management" is an oxymoron when it comes to many state plans.

Just a few examples:

  • Last year New York State Attorney General Andrew Cuomo created a task force with 36 other attorneys general to share info about abuses of government pension funds, focusing on pay-to-play schemes and other shenanigans. Last week Former New York State Comptroller Alan Hevesi admitted he approved a250 million pension investment in exchange for nearly1 million in trips, sham consulting fees and campaign contributions.
  • The state of Pennsylvania pays 200-plus pension management companies more than250 million a year to make reckless bets on troubled banks, troubled venture capital companies and other questionable investments, according to the Philadelphia Inquirer.
  • This year the SEC charged New Jersey's pension fund with civil fraud for lying about whether it had covered its pension obligations to teachers and other state employees.


While the folks who manage 401(k) assets most likely won't be doing any perp walks, it's worth debating whether the fees participants pay them are worth it. Countless studies have demonstrated that managed funds can't beat passively managed index funds. What's more, while campaign contributions may not fit the strict definition of "pay to play," I wouldn't be surprised if the reason why Rep. George Miller, the go-to-guy on pensions, can't get legislation passed that would require every employer to offer index funds isn't a lack of interest but because the mutual fund industry showered big bucks on his colleagues to vote against it.

The even more reckless behavior by many mutual fund managers is their management of target date funds, which are supposed to automatically shift 401(k) participants' assets mix from stocks to fixed income investments as participants approach retirement age. Virtually every mutual fund outside of the Vanguard Group instead kept these investors scheduled to retire this year dangerously over-allocated in stocks -- more than 50% of their portfolios. As a result, in 2008 the average return of the four largest target funds in that category was minus 25.8%, almost as bad as the overall market slump for the S&P 500 that year of minus 38%. Finally, the fact that none of the mutual fund companies' leadership realize that most of their customers can't afford to retire is downright reprehensible.

Whatever the fix to our 401(k) disaster, time's a wasting to find and implement a remedy. Got more ideas? I'm all ears: please post your comments and let's crowdsource a remedy!

 
 
 
 
 
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HUFFPOST SUPER USER
kallou22
My purpose is love and global peace.
12:45 PM on 10/15/2010
I think a government run 401(k) is brilliant. I would instantly roll all my savings into it.
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Socialk
Rob Thomas CEO Social(k)
02:46 PM on 10/13/2010
I keep hearing indexing beats active management. Yet looking at American Funds Growth Fund of America against any Vanguard Large Cap Growth fund since inception and that does not hold true, especially with Vanguard Funds that have as long a track record. It is not a given that active management beats indexing. Usually a blend of both gets the best results. With index funds, actively managed funds and ESG screened options a 401(k) like Social(k) can work nicely. Add auto enrollment into a balanced default fund and you begin the make a difference for people when they retire.
11:17 AM on 10/15/2010
One fund is beating Vanguard. How many are not? The answer is over 80% of actively managed funds do not beat the index funds. Add in management fees, which don't seem to diminish, no matter how poor the performance and the investor loses 85% of the time. The key for an investor is not finding one fund that will beat a no-load index fund, but being assured you will do at least as well as the market average. Unless you like risk and stress. Then you should go for it if you like. Most people are pretty risk averse when it comes to their financial well being.
12:50 PM on 10/13/2010
"How about offering 401(k) savers an option to invest their funds in a government run 401(k) plan similar to the Thrift Plan, which manages low-cost index funds for three million federal and civil servants? Maybe we ought to go a step further and pool the assets, rather than have individual accounts,"

Wait, pool the assets? So you're going to take the money that I earned and contributed to my retirement, and give it to someone else for their retirement instead? It's not even like social security, where what you get out is proportional to what you put in, it's going to be what *you* get out is proportional to what *I* put in?

No. Just no. No no no no no, and absolutely not. Get out of my wallet. Right. Now.
07:35 PM on 10/13/2010
Actually, Social Security benefits are already skewed towards lower income workers. They replace a larger amount of a low income worker's compensation and a smaller amount of a higher income worker's compensation. If you are a single worker, you still have to pay for "survivor" benefits, even if you have no qualified survivors and would not purchase life insurance on your own. The cost of survivor benefits is built into the tax rate.
11:25 AM on 10/15/2010
They never said your claims on the payouts would not be proportional to your contributions. Just that managing 50 million individual accounts over 70 years costs more than 50 million people contributing to one investment pool and receiving payouts from the single pool, rather than making and managing decisions for each individual account.

I don't immediately favor pooling, because it makes the investment management process more opaque. Better to have 50 million involved watchdogs, IMHO.
03:30 AM on 10/13/2010
All retirement is CYA.

You want to make a well-managed fund, but that can't be done. The fund will still have to be run by somebody, who will make investments based on what trips they are offered. A solution offering another layer of oversight, when we have not shown the ability to make any oversight work, is no solution.

As the saying goes, twice nothing is still nothing.
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sonoffestus
Got smart & got out!
12:50 AM on 10/13/2010
401s and IRAs were and are both scams. One a way to let corporations off the pension hook, the other a gift to Wall Street.

You been had, again and again and again.........................
03:33 AM on 10/13/2010
Pensions are themselves a scam. Besides the problems listed in the article, pensions can be re-negotiated in bankruptcy, allowing a company to make large promises for decades and then restructure. Similarly, governments can renegotiate pensions without even taking the bankruptcy step.

There is no way to legislate retirement responsibility, it takes actual work and savings.
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sonoffestus
Got smart & got out!
11:46 AM on 10/13/2010
Agreed, all one has to do is look how a few of the airlines handled their pension plans. Under fund them, cry to Feds they can't afford too, declare them insolvent and have the government take them over at less than half their value. Corporate welfare at its finest.
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HUFFPOST SUPER USER
frank day
Obama cares about all of U.S.
12:30 AM on 10/13/2010
"How about offering 401(k) savers an option to invest their funds in a government run 401(k) plan similar to the Thrift Plan, which manages low-cost index funds for three million federal and civil servants? Maybe we ought to go a step further and pool the assets,"

Now you're talking.
How about mandating a min. 5% employer match?
09:08 PM on 10/12/2010
The old style pension plans were great if you planned to stay with the same employer for 30 or 40 years and your employer did not go bankrupt. From a pension standpoint, my first 11 years were wasted, as no benefits vested. Most people that I know have held several jobs since leaving college. My 401K plan (from my last and longest job) worked well for me. I retired with a significant balance, all of which I rolled into my IRA. I even got to retire before the French do. Unfortunately, all too many Americans are illiterate when it comes to managing their money. They would rather spend $100 a month on cable instead of saving it. So many of them will work until they die. Quel dommage!
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HUFFPOST SUPER USER
frank day
Obama cares about all of U.S.
12:32 AM on 10/13/2010
Good for you, for your hard work and good fortune.
Sadly, not everyone earns enough to save enough for even a modest retirement.
Everyone's situation is different.
Be proud of your accomplishment.
But try to show a little understanding and compassion for others.
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sonoffestus
Got smart & got out!
12:45 AM on 10/13/2010
Compassion is in short supply these days. Fear and ignorance generally does not lead one to compassion.
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intolleft
ObamaTAX...getting you shovel ready
08:47 PM on 10/12/2010
Patience.
HUFFPOST SUPER USER
robbcoffee
06:11 PM on 10/12/2010
Frankly, I think the problem is that 40ik's were never designed to be retirement plans. They were created as an executive perk, but the government would not allow the tax benefits unless the businesses made them available to everyone... so then they sold the idea as an alternative to pensions, allowing them to weasel out of defined benefit.
I think what we really need to look at is the facts about retirement:
1. Most people can't save for it, 401k or not.
2. Generous pensions are not feasible.
3. Social Security can't do more than supplement retirement and keep the poorest people afloat.
4. Most people can work longer, but some people can't.
5. Life after retirement is unpredictable and likely full of crises.

I don't know how this lends to an answer... but we have to face these facts to even begin to find one.
I really don't think 401k's will ever work without also fixing Social Security... and by all means keeping it from being privatized (turned into a 401k itself).
05:56 PM on 10/12/2010
This is all well and good about 401K’s; however the reason my 401k is underfunded is more basic... I have needed every penny I make to survive. Sad but true. I don't make enough to put any away. I don't have a credit card, pay for everything either in cash or debit card. Don't go out to eat for breakfast, lunch or dinner, except maybe a meal out with my family one time every 2 months. This was happening long before the economy tanked. Oh and I work two jobs. You tell me where my retirement money will come from? What retirement? I will be working until I die, not by choice but by necessity.
HUFFPOST SUPER USER
myth buster
06:06 PM on 10/12/2010
Check your utilities for waste. That may be a way to save money.
12:49 PM on 10/13/2010
At least you're intelectually honest enough to not blame 401k.

Some others here should take notice.
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DickTater
American Livestock
05:03 PM on 10/12/2010
Yeah, wait til they privatize Soc. Sec.

See, the move to make 401k and IRA investments a federally conceived scheme must have been a huge lobbying effort by the big investment companies. How else could you FORCE 100's of millions of Americans to take their diversity and cram it into ONE area, where the wolves can play personal piggybank with it?

Beware, the capitalistic model of this country was predators going after us individuals. Now, it is much more efficient to get all of us sheep together as a herd so they can fleece the whole flock. Much more efficient, they don't have to hunt us all down individually and find new and novel ways to bleed you.

They are going after these fat targets. Pool everything into one place, then devour it. Gather all the home loans, then make them worthless, and raid the treasury on their way out....left it without a single penny in the vaults.

There is no end to their ravening hunger. There is no amount too big to steal. Right now our whole system of property is foundering as the banks willy nilly decide who's home titles are valid, foreclose on whomever they wish, claim your paper is worthless, change your locks.
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PoliSci2008
Independent
04:23 PM on 10/12/2010
In the initial years of the 401(k) Plan, it was designed to afford workers with a handsome nest egg at retirement. For most employers, it was marketed as a way to contribuite 10% of compensation annually, whereby an Employee would defer 5% of his pay to the plan and the Employer would match it 100% up to 5% of pay; hence 10% of compensation for the average worker who had 20, 15, or 10 years to retire. But during the 90s we had lots of mergers & acquisistions and job losses. Employers sponsoring 401(k)s either reduce their match to 3% of pay, froze all contributions or terminated. TO THIS DAY, EMPOYERS STILL CONTRIBUTE THIS LOW 3% OF PAY, if at all. Congress then allowed in-service withdrawals, loans, and hardship withdrawals making the 401(k) Plan into an ATM, abused by the employee! And then there was inflated car and home prices and increase in tuition to the point an employee reduce or reframe from making salary deferral.

The greed of the 90s, buying companies and selling off departments/divisions, was the start of the adverse effects on 401(k) plans and employers have not recovered mentally from the 3% of pay to these plans.

A solution is to reduce taxes on business to get back to 5% of pay by both the ER and EE; which means reducing Defense or other federal budgets, which also means getting out of Iraq and Afghan or limiting the war on terror with satellite guided weapons.
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HUFFPOST BLOGGER
Jane White
06:19 PM on 10/12/2010
I would beg to differ on the employer contribution rate. From what I've seen the vast majority of employers only contributed 3% of pay even in the go-go 1990s. Here's my question. Every employer in Australia is REQUIRED to contribute 9% of pay--and Australia has a Social Security system. What's wrong with requiring employers to be more generous?
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PoliSci2008
Independent
09:02 PM on 10/12/2010
Hi, Jane and yes there was the 3% of pay and up to 6% even in the go-go 90s, but in the beginning I had seen plans with 100%; 50% and 25% match when the dollar limit was a mere $7500. (Shhh! I'm an old TPA).

An Employer required contribution rate of 9% of Pay would be ideal (for employees), heck I would be happy with 5%, but you and I know that the CEOs and Shareholders would object and use the requirement to either reduce compensation or even terminate the Plan.

Generosity? I've always said that the Employer's mentality in the USA is so different from the European and Australia. I equated with a slave-owner mentality.

US paid vacation is 2 weeks; and Europe, Australia, Canada is 6 weeks?!!!
US unemployment is up to 6 moths; and the others are twice that amount.
US healthcare is paid by an individual and subject to discontinuance at a moments notice; the others have government paid healthcare.

But I guess you can say we, as individual taxpayers, pay less taxes than these other countries.

Di
11:31 AM on 10/15/2010
Many employers offer no match at all.
03:58 PM on 10/12/2010
Actually, the problem was caused when our elected "representatives" allowed corporate CEO's to abscond with their lower level employees' pensions through purchased legislation, phony "cash balance" conversions, pension freezes and outright, purposeful unfundings (followed, of course, by pension fund failures where rapacious CEO's foisted their obligations on the taxpayer via the also- underfunded PBGC). The fact that this, the largest redistribution of middle class wealth to the corporate "elite", has gone unpunished is testament to just how far in the bag our political class truly is.
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PoliSci2008
Independent
03:52 PM on 10/12/2010
The best retirement plan in both the private & public sectors was/is the Defined Benefit Pension Plan (DBPP). It provides a fixed monthly benefit at normal retirement age based on a percentage (50%, 75% or even 100%) of your compensation within the last 3 to 5 years of your retirment date.

Under the administration of Presidents Ronald R. Regan and Geroge H. Bush, the DBPP came under attack with all kinds of restrictions; i.e, restrictions in the benefit amount, interest rates, mortality tables, etc). Why? Regan had cut taxes on personal income, and then restricted the Employer's tax-deductible contributions to DBPP in order to re-coop the loss in the general public taxes. As a results of these federal restrictions, the DBPP became expensive to administer with IRS compliance issues and a dying dinosaur. Employers terminated their DBPP and opted for 401(k) begnning in the late 80s. Today, the only entities who can afford a DBPP are local, state & federal governments b/c taxpayers' funds the contributions and pays the administrative expenses. Glup! The Truth has been Told!

My point is the American workers in the private sector have been hood-wink b/c of wealthy GOPs interest in their own wealth and less taxes (the Regan tax-cuts) that it even affected their DBPP, and they don't even know it.
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Daphydd
Lets play some music
06:40 PM on 10/12/2010
"As a results of these federal restrictions, the DBPP became expensive to administer with IRS compliance issues and a dying dinosaur.." I believe this is also the basis of the Republican motivation to "privatize" social security, to starve it of contributions, the result of which will be an easier political battle to abandon the program altogether because it will be more in the red.
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PoliSci2008
Independent
09:11 PM on 10/12/2010
Excellent point. My short-sightedness of the GOP's desires to privatize the Social Security benefits was Wall Street need for more money to invest and lose. I must admit, I don't have the forsight of the GOP's ambitions, but when it's apparent, esp after the fact, I am floor-ed! Your point is well received and thank you.
11:36 AM on 10/15/2010
You would be lucky to get 50%. I worked for a major firm for 30 years, with a good plan. My pension benefit is about 25% of my last 5 year average. With SS and my (admittedly poorly managed) 401K, I have about 50% total of my pre-retirement income. Needless to say, lifestyle changes have ensued.
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03:13 PM on 10/12/2010
The 401K pretend retirement system is a con job on America. Most of the people that I know who can actually afford to retire, worked for the government. Unregulated private industry has failed America. IT DOES NOT WORK. Private industry has been cuttin gand cutting and cutting salaries, so unless you are well off, there is no money for a 401K.

Republicans seem to be very bad at math. They just keep saying: save more money. HOW DO YOU SAVE WHEN THE SALARIES ARE SO DAMN LOW?

Republicans are going to have a fun time, as they wander around their towns, tripping over homeless seniors laying on the sidewalks and parks. Yep, your redneck unregulated Reagan, Bush, Teaparty economics sure worked out well.
HUFFPOST SUPER USER
myth buster
06:13 PM on 10/12/2010
The problem is more fundamental- people are getting deep into debt in their youth and are then forced to squander their most valuable working years paying off debt instead of saving. Worthless/overpriced college degrees and credit card debt are ruining the balance sheets of young people, and by the time they're 40, they don't have nearly as much time to save. Remember that fund balances scale linearly as the contributions, but they scale exponentially as time and rate of return. At 6%, you need to double the size of your contributions to make up for losing 12 years.