Investment Professionals

Succeeding in the retirement plans market is challenging. We can help.

Increased client expectations, rapidly changing regulations and heightened regulatory scrutiny has raised the bar for investment professionals and consultants.  RLG is available to help you identify and manage risks, while simplifying your practice, to help you protect and grow your firm.

RLG offers actionable and affordable solutions for your practice, including:

Agreements & Disclosures

  • Plan service agreements for banks, broker-dealers & RIAs for multiple services and multiple plan types
  • Development and review of solicitor, sub-advisory and model manager programs
  • Collective Investment Trust (CIT) participation & sub-advisory agreements & disclosures
  • More robust and complete disclosures
  • Supporting documents including custom compliance & supervisory policies/procedures

Product & Service Development

  • Consultation regarding formation of multiple employer plans (MEPs), including SECURE Act Groups of Plans, Pooled Plan Provider (PPP) & establishment of Pooled Employer Plans (PEPs)
  • Consulting on formation & distribution of CITs
  • Due diligence and review of third-party participant advice programs

Regulatory Guidance & Defense

  • Representation in connection with SEC, FINRA & OCC examinations
  • Coordination & negotiation with Department of Labor (DOL) and Internal Revenue Service (IRS) in connection with investigations & audits
  • Mock examinations, audits & investigations
  • Regulatory guidance relating to FINRA, SEC, DOL & IRS compliance

Ongoing RIA Compliance Services

  • RIA formation & registration
  • Design & implementation of compliance calendar
  • Assistance with annual filings, including Form ADV
  • Assistance with annual compliance testing
  • Regulatory updates & rule monitoring
  • Question support, as needed

For More Information

For more information, or to request a proposal, please contact us.

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