Financial Institutions offering
retirement planning services
face significant penalties for
non-compliance of federal
regulations. Are you at risk? Find
out how well you really know your
Qualified Retirement Plan Business.


Qualified Retirement Planning service for your institution.

With over 60 years of experience in the industry, our firm helps you to identify, measure and grow your Qualified Retirement Plan business and stay on top of continually changing regulations.

Tier III

Customer Support:

  • Review RFP/Proposal process
  • Review Plan design alternatives
  • Access to Qualified Retirement Plan (QRP) business consultants
  • Review 408(b)(2) Disclosure requirements
  • Customer support team; general retirement business issues
  • Prepare plan design illustrations*
  • Support New Advisors retirement plan business transition
  • Prepare vendor comparison illustration for proposal

Retirement Business/Development:

  • Coordinate on behalf of firm with Retirement Product Vendors – New developments
  • Review / Maintain Service Agreements with QRP Vendors
  • Establish systematized data gathering and reporting of QRP business
  • Review and maintain acceptable product vendors and services
  • Review and maintain retirement business program – documentation
  • Establish audit procedures
  • Monitor retirement plan business and coordinate commision procedures

Retirement Plan Education:

  • Webinars – 3 per year – topics selected from RPAS educational program
  • Webinars – 3 per year – general QRP business discussion and procedures
  • Compliance session at Annual Conference – (Travel and expense billed separately)
  • Coordinate with vendors for regional CE meetings

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