Services for Investment Advisors

We are not in the investment advisory business, and do not plan to be. Our role is to be the expert resource on plan design, compliance, administration, recordkeeping and participant services so our Investment Advisor partners can focus on what they do. Our goal is to never put our Investment Advisor partner’s relationships at risk.

Open Investment Architecture:

We provide a fully open investment architecture (over 11,000 funds currently available) which enables our RIA partners to have full and complete control over the investments regardless of provider. We are currently running model portfolios with our RIA partners on over 100 clients representing over $1.0 billion in assets. If there is revenue sharing from the investments we will collect and deposit 100% of these funds in an ERISA fee account.

Deep Plan Expertise:

We have deep expertise in design, operations and compliance of all types of retirement plans, and can provide our Advisor partners with client specific ideas, recommendations and solutions for their clients. We can be your retirement plan expert.

Operational Excellence:

We are focused on timely, efficient, error-free plan operations and administration. Because of this, we do not put our RIA partner’s relationships at risk. We take full responsibility for our commitments to Plan Sponsors and will put significant fees at risk. We do not put our partner’s relationships at risk.

Accountability:

We don’t wait to be told what to do. We know what it takes to operate retirement plans across all of the important dimensions, and we do what needs to be done without having to be told:

  • Error free recordkeeping
  • Transaction processing
  • Participant services
  • Daily trading
  • Compliance planning, monitoring and testing
  • Reporting
  • Plan governance & updates
  • Plan sponsor service

Real Time Access:

Our RIA partners have full access to real-time plan and participant level information including participation, investments, transactions, reporting, etc. (Requires Plan Sponsor permission.)