THE PROBLEM: When you work with “held away” 401Ks, you may invite the DOL and all the ERISA rules into your life, which puts your personal assets at risk!

THE SOLUTION: We created the solution for independent advisers:

1) Online Best Practices Training Course

2) Software to deliver your professional, ongoing advice compliant with the ERISA & SEC rules

3) (optional) Trading of your “held away” accounts

SUCCESS: Become an adviser who is confident in their ERISA Compliance while working with “held away” 401Ks, and not worried about risking their personal assets, because they now know the ERISA rules!

When it comes to working with “held away” 401Ks, we feel your pain!

It’s difficult to ensure you . . .

• get signatures on your ERISA disclosure

• creating your written prudent process

• reviewing all the available investment options

• overlaying your model allocation(s)

• documenting all of the advice/trades

• keeping the documentation for six years (minimum)

• repeating the process every time you advise/trade

We have made 3 things really easy for you!

1. Mastering all the elements of ERISA Law & DOL Rules (Best Practices Course)

2. Scaling your advice & ERISA Compliance working with “held away” 401(k)s (Software)

3. Saving you time trading accounts & creating a “paper trail” of compliance (Software)

The non-compliant adviser:

Lives in fear knowing they may have to personally restore any losses and payback their fees.