Registered Investment Advisor Solution

Our Registered Investment Advisor Solution offers fee-based Registered Investment Advisors, a multi-fund family platform, and a full service third-party plan administrator. We provide the connectivity and daily utilization for publicly traded mutual funds, separately managed portfolios and company stock. Each Registered Investment Advisor is able to bill for their fee or have their fee charged to plan assets.

Federally Registered Investment Advisors with expertise in mutual funds may serve as benefit consultants to plan sponsors on one of our platforms. We maintain over $1.8 billion under recordkeeping management, and our clients range from small 15 life plans to large 20,000 life plans. We offer fee-based Registered Investment Advisors a comprehensive solution in the retirement and 401(k) plan marketplace including:

• Connectivity and Daily Utilization of publicly-traded mutual funds, separately managed portfolios and company stock for a Registered Investment Advisor's retirement and 401(k) plan clients.
  
  

• Completely Automated Program enabling each Registered Investment Advisor to bill for their fee or to have their fee charged to plan assets
  
  

• Communication Specialists to conduct employee group meetings and one-on-one counseling sessions on behalf of, or with, the Registered Investment Advisor.
  
  

• Client Relationship Managers to provide the Registered Investment Advisor with fund selection and on-going evaluation of investment options designed to enable the Advisor to deliver consistent, superior investment returns and compelling investment lineups.
  
  

• Fidelity and Schwab Trading Platforms support the Registered Investment Advisor's retirement and 401(k) plan offering to their clients. These platforms have no investment fund restrictions which would otherwise limit the Registered Investment Advisor to a selection of proprietary funds or captive mutual funds.
  
  

• Callan Investment Policy Statements, fund profiles, analytical tools and research, and Morningstar, Inc. databases enabling the Registered Investment Advisor to conduct procedural due diligence with plan sponsors.
  
  

• Online Guidance and Education to educate the participant with respect to their investment options, recommend specific asset class allocations, provide tools to select mutual funds within these asset classes and submit investment decisions under the plan. This online guidance and education service is fully integrated with our recordkeeping system and trading platforms, and imports the participant's existing deferral and contribution history, as well as current investment options and account values.
  
  

• Analysis of thousands of funds for risk scores, investment returns and expense ratios allows us to construct mutual fund menus and replace funds that no longer meet Investment Policy Statement guidelines
  
  
• Web technology that enables participants to access their retirement accounts, execute transactions, obtain price-per-share information, view fund performance, request asset allocation advice and review fund data.
  Click here for more about our electronic links with Fidelity, Charles Schwab, Matrix Capital Bank, and the Nationwide Best of America Group Pension Series.
  
  
• Voice response and daily valuations to empower plan participants with instant on-demand services
  
  
• Participant hotline provides employees access to a staff of benefit consultants to handle inquiries, reducing the call value to your internal benefits staff
  
  
• Investment manager searches, fund performance monitoring and asset allocation services for plan sponsors and their financial advisors on the Fidelity, Charles Schwab, Matrix and Nationwide multiple-fund family trading platforms
  
  
• Over 12,500 mutual funds, available on our platforms, including over 4,000 no-load, no-transaction fee mutual funds.