Comprehensive Retirement Risk Management and ERISA Compliance Solutions for Registered Investment Advisers (RIAs)
Agreements, model forms, disclosures, policies & procedures and training materials

Registered Investment Advisers have unique needs when balancing risk management and competition in the retirement space. PRI assists RIAs with understanding their risks and building programs to comply with ERISA and meeting the ever-changing regulation and enforcement by the Department of Labor (DOL) and SEC. PRI provides a library of proprietary resources, paired with unlimited home office consulting services to give your firm the compliance, strategy, and practice management tools you need to thrive in the retirement marketplace.

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

  • Reviewing business models for conflicts and prohibited transactions
  • Configuring ERISA and IRA agreements, disclosures, and compliance policies
  • Keeping you informed on new laws, regulations, and retirement industry practices
  • Promoting compliance for IRA rollovers under DOL PTE 2020-02 and the Retirement Security Rule (a.k.a. “Fiduciary Rule”)
  • Assistance with “Retrospective Reviews” required under PTE 2020-02

Balancing risk management with growth and marketability

  • Unlimited consulting on compliance-related matters, operational efficiencies, and technology
  • Trust officer and administrator training and education to promote increased understanding of the rules
  • Curated practice management and client-facing resources, including whitepapers and thought leadership

Continued growth and scale of your retirement business through client-facing deliverables and education

  • Fiduciary roadmap: G-MAP business-building resources for trust officers, administrators, and plan sponsors
  • Sample client communications on new laws, regulations, interpretations, enforcements, and litigation trends affecting plan sponsors and retirement investors
  • Customizable platform with training and client-facing resources
  • Technical consulting for case-specific questions

For More Information

For more information about PRI’s services, or to schedule a demo, please contact us.

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