Overview

We have an RIA that is Fee Only working heavily with low cost ETFs and Portfolios that are updated quarterly or semi-annually. The RIA offers ultra-low cost 401(k)s that includes access to ALL available ETFs in addition to ALL available Mutual Funds using all available share classes through a major firm. Client employees are encouraged to make suggestions as to what retirement plan investment choices should be made available. That is a huge comfort function with employees. The RIA charges an Advisory Fee. For non-ERISA Accounts, all trading charges are paid through our RIA firm. Clients are charged no fees whatsoever other than the RIA Advisory Fee. For ERISA Accounts, there are no chargeable transaction fees. The only fees for ERISA Accounts are for the Custodian, any Trustees, and the agreed RIA Advisory Fee.

For ERISA accounts, we provide one on one enrollments with all employees of client employers at least once annually (a function that dramatically improves participation and contribution rates) with at least quarterly servicing visits plus availability at any time for any participant for any reason. We tie in the advisory services on the ERISA Plans to employees' personal accounts if the employee supplies the necessary information.

We get rid of the impersonal "HR" hands off attitude and provide professional service on a one on one basis.

The insurance operation is totally separate under separate ownership and handles Medicare Supplements, Executive Compensation Plans, Individual Medical, Individual Dental, High Quality Disability Income, Life Insurance, Estate Planning Coordination and Group Benefits. This operation handles much of the communication effort with both the employer and their employees on cases.

May have some office space and staff available depending on the situation.

Last Activity
6 months or more

Business Data

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Clearing Firm / Custodian

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Third Party Money Managers

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Mutual Funds

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Variable Annuities

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Insurance Business

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