Click to Learn About Advisors/Broker Dealers

Advantages for
Broker Dealers:

  • Complements and maintains the Advisor’s valuable Client Relationship
  • Shifts investment management risk from the Broker-Dealer and their representatives under ERISA Sec 3(38)
  • Seamless product-based technology solution offered through existing provider relationships
  • Protects broker dealer and advisor compensation under new fiduciary guidelines
  • Facilitates compliance reporting for your advisor's plans by tracking funds and assets at our select providers

Click to learn about Recordkeepers and Third-Party Administrators

Advantages for Recordkeepers / THIRD-PARTY Administrators:

  • Protects business continuation with BD/RIA clients in accordance with recently passed fiduciary guidelines
  • Provides a  thorough 3(38) fiduciary solution, with integrated Fiduciary Warranty to ensure prudent fiduciary standards
  • Solution offered exclusively  through our ten preferred RK partners to enhance their market share
  • Simple data feed offers seamless integration with existing product platforms
  • Warranty Certificate issued through Great American Liability (AA), a third party insurance company

Click to Learn About Plan Sponsors

Advantages for PLAN Sponsors:

  • Satisfies ERISA requirement that plan sponsors select and monitor plan investments in accordance with generally accepted guidelines
  • Offloads fund monitoring obligations as a qualified third-party in accordance with DOL Regulation
    2509.95-1 ( c)(6)
  • Shifts fiduciary investment monitoring risk from plan sponsor under ERISA Sec 3(38)
  • Issues certificate of warranty to provide liability coverage in case of conflicts
  • Permits plan’s advisor to focus on highly valuable participant level guidance