Who We Are
We provide retirement and institutional custody services to help employers, advisors and institutions solve complex business problems. We’re committed to helping increase the financial security of American workers by empowering them with access to tools and resources needed to manage their investment journey.
See What Our Clients Are Saying
What We Value
We firmly believe all employees should be treated with respect, regardless of who they are or what they do for the business. We have created a workplace where all employees can thrive and be proud of our culture and the values that we live by.
Learn moreFeel Secure
Regulated by State of Illinois
We are chartered by the State of Illinois to perform trustee and custody functions and are subject to regular examination by the Illinois Department of Financial and Professional Regulation (IDFPR).
Audited
Our financial statements are audited on an annual basis by an independent certified public accountant, in accordance with AICPA professional standards.
Controls
Systematic internal controls are employed to protect the quality and integrity of operations and provide a secure environment for the custody of client assets.
Service Organization Controls (SOC) are a series of accounting standards that measure the control of financial information for a service organization. We employed a Big 4 accounting firm to provide an SSAE 16 (SOC 1) type 2 examination for the time period of October 1, 2019, through September 30, 2020.
Insurance Coverage
We carry Management Liability, Professional Liability, and Fidelity Bond coverage. This insurance does not relate to the safety of the investments chosen by our clients.
Business Continuity/Disaster Recovery
Our comprehensive disaster recovery plan utilizes business continuity services provided by SunGard Availability Services.
Privacy
Physical, electronic, and procedural safeguards are designed to protect the security of client records. To learn more, please view our privacy policy.
