Pension Resource Institute - Advisor Resource Center

Do your agreements address the unique considerations of serving retirement plans vs. individual retirement investors?

Yes No Not Sure

Are your advisors getting credit for all the services they deliver to retirement plans?

Yes No Not Sure

Are your advisors competitively positioned to attract new and retain existing retirement clients?

Yes No Not Sure

Are you maximizing your advisors' ability to profitably serve retirement investors inside and outside of their employer-sponsored plans?

Yes No Not Sure

Compliance
Development and maintenance of key documents and rule-monitoring services tailored to your business

Have you recently evaluated whether your business practices result in prohibited transactions (PTs) under ERISA or the Internal Revenue Code?

Yes No Not Sure

If you have PTs, are you complying with the applicable prohibited transaction exemption (PTE) conditions?

Yes No Not Sure

Do your retirement plan disclosures accurately reflect your services, fees and status?

Yes No Not Sure

Do you have policies & procedures for your retirement plan services, including documenting the responsibilities for your advisors and their clients?

Yes No Not Sure

Do your agreements, disclosures, and policies accurately and confidently address the unique requirements, services, fees, and responsibilities involved in serving retirement plans and individual retirement investors?

Yes No Not Sure

Do you have a process to ensure compliance requirements are updated timely and accurately in the event of new guidance from DOL, IRS, SEC, or FINRA?

Yes No Not Sure

Are your advisors trained on your firm-specific policies & procedures and how to best deliver services to retirement plans and individual retirement investors?

Yes No Not Sure

Do your advisors have access to firm-approved materials to consistently deliver services to retirement plan sponsors?

Yes No Not Sure

Are your training programs updated regularly to reflect regulatory changes and emerging best practices?

Yes No Not Sure

Section	# of Yes answers
Strategy	0
Compliance	0
Practice Management	0
Firm Score:	0

Firm Score	Summary and Action Items
12-14	Firm has many positive factors, with some opportunities to improve competitiveness and/or reduce risk.
8-11	Firm has several opportunities to improve competitiveness and/or reduce risk.
7 or fewer	Firm has reduced competitiveness and/or greater risk than other firms in the market. Potential for compliance risks to materialize is greater than peers.

Disclaimer. Any opinions or analysis are intended to be used solely for educational purposes and should not be construed as a legal advice, are not to be acted on as such, and are subject to change without notice. The Pension Resource Institute, LLC does not provide legal or tax advice.

PRI Firm Assessment

Strategy
Balancing risk management with growth

Compliance
Development and maintenance of key documents and rule-monitoring services tailored to your business

Practice Management
Business growth facilitated by client-facing deliverables

For More Information

Strategy Balancing risk management with growth

Compliance Development and maintenance of key documents and rule-monitoring services tailored to your business

Practice Management Business growth facilitated by client-facing deliverables

For More Information

Strategy
Balancing risk management with growth

Compliance
Development and maintenance of key documents and rule-monitoring services tailored to your business

Practice Management
Business growth facilitated by client-facing deliverables