Helping financial advisors support self-employed clients with retirement planning options.
Offer your self-employed clients access to Solo 401(k) plans with maximum contribution potential and sophisticated plan features.
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Higher contribution limits than SEP IRAs
Roth options for tax diversification
Participant loan provisions available
Maintain your role as investment advisor while we handle plan administration and compliance.
Continue managing client portfolios
Assets remain with your custodian
Flexible investment options
Position your practice as a comprehensive resource for self-employed professionals and business owners.
Attract high-net-worth entrepreneurs
Deepen client relationships
Differentiate from competitors
Our Solo 401(k) plans are designed to work with your preferred custodian, allowing you to maintain existing custody relationships and investment platforms.
We don't require plan assets to be held at a specific custodian. This means you can continue working with the custodians you trust, whether that's:
Major brokerage firms (Schwab, Fidelity, TD Ameritrade, etc.)
Independent RIA custodians
Self-directed IRA custodians for alternative investments
Banks and trust companies
This flexibility ensures you maintain control over the investment management relationship and can offer clients the investment solutions that best fit their needs and your practice's investment philosophy.
Our plan documents and administration processes are designed to integrate smoothly with various custodian platforms, minimizing administrative friction and setup complexity.
When you partner with us, you retain full control over investment decisions and asset management for your clients' Solo 401(k) accounts.
Investment advisory relationship
Portfolio management authority
Asset allocation decisions
Ongoing investment oversight
Client investment communications
Plan document preparation
Compliance administration
Contribution limit calculations
Form 5500-EZ support
Regulatory updates
This clear division of responsibilities allows you to focus on what you do best investment management and client relationships while we ensure the retirement plan structure remains compliant and properly administered.
Our advisor partnership model is designed to protect and enhance your practice's revenue streams:
Solo 401(k) assets remain under your management at your chosen custodian, allowing you to continue earning advisory fees on the full relationship, including retirement plan assets.
By offering comprehensive retirement planning solutions, you strengthen client loyalty and reduce attrition, protecting long-term revenue.
Self-employed professionals and business owners often have significant investable assets. Solo 401(k) expertise helps you attract and retain this lucrative client segment.
Existing clients who establish Solo 401(k) plans often make substantial contributions, directly increasing your assets under management and fee revenue.
We may offer professional referral arrangements in compliance with applicable regulations, creating additional revenue opportunities for your practice.
Our partnership process is designed to complement your advisory practice seamlessly:
You identify clients who may benefit from a Solo 401(k) as part of their comprehensive financial plan. This includes self-employed individuals, business owners, and side-business entrepreneurs.
We provide educational resources and consultation support to help you and your client understand Solo 401(k) benefits, eligibility, and implementation considerations.
Once the client decides to proceed, we handle plan document preparation, adoption agreements, and compliance setup. You remain involved in discussions about plan design features that affect investment strategy.
Solo 401(k) accounts are established at your preferred custodian. You maintain investment advisory authority and continue managing the portfolio according to your client's investment policy.
We provide ongoing compliance support, contribution calculations, regulatory updates, and technical assistance. You focus on investment management and client relationship stewardship.
Clear communication channels ensure smooth coordination on client matters. Your client sees one unified advisory team, with you as the primary relationship manager.
Schedule a consultation to discuss your Solo 401(k) questions and explore whether this
retirement plan structure is right for you.
Disclaimer: This website provides educational information only and does not constitute tax, legal, or investment advice. Please consult with qualified professionals regarding your specific situation. Solo 401(k) plans may not be suitable for all individuals.
