When might your plan sponsor client start or transfer a 401(k) Plan?

As soon as possible

1-3 months

3-6 mpnths

6+ months

No Special Service

My RIA does not wish to deliver services but rather is looking for an extremely competitive RIA-centric 401(k) for my plan sponsor client.

Money Management Services: (Check all that apply)

Manage money for specific plan participants via individual brokerage-window accounts. You run your trades, set and collect your own fees within Charles Schwab & Co. PCRAs (Personal Choice Retirement Accounts).

Provide your managed pooled portfolios within the lineup of Designated Investment Alternatives (DIA’s) available to all plan participants. Each portfolio is a single Schwab brokerage account. You set your fees which are calculated, collected, and remitted to you quarterly by ECI.

Support and/or Fiduciary Services Provided at the Plan-Level (Check all that apply)

Provide non-fiduciary support services to plan participants. (Such as general retirement education). You set your fee and designate which plan assets you wish it to apply to. ECI calculates, collects, and remits you your fee quarterly; and/or

Provide fiduciary plan sponsor consulting services.

Provide fiduciary plan sponsor consulting services. (Such as quarterly reviews of the plan Designated Investment Alternatives (DIAs)). You set your fee and designate which plan assets you wish it to apply to. ECI calculates, collects, and remits you your fee quarterly.

Fiduciary support services fee to plan participants applies to:

Assets in Schwab “PCRA” brokerage-window accounts

Assets in plan Designated Investment Alternatives (DIAs)

Assets in managed pooled portfolios

Provide fiduciary good governance services to the plan’s 401(k) committee.

Provide fiduciary good governance services to the plan’s 401(k) committee. (Such as providing industry cost benchmarking reports and assistance with quarterly committee meetings – including archived meeting minutes and reports.)

Please select any additional services of interest:

Screening and Forwarding to Your RIA of Plan Participant Advisory Inquiries Based Upon Criteria You Set

Plan Participant Data-Mining for Qualified Individual Advisory Clients