A Solution for Plan Advisors in a Changing Regulatory Landscape
Helping retirement plan participants achieve their goals has never been more complicated. With new federal regulations directed at the fiduciary role of plan advisors, it is easy to see why advisors are focusing on compliance issues, often at the expense of client service.
That’s why many plan advisors are partnering with R.T. Jones Capital Equities Management, a Registered Investment Advisor. The firm specializes in delivering time-tested wealth management solutions for participants –
while mitigating regulatory risk to plan advisor and sponsor through its managed account product, Artesys®.
Extensive Fiduciary Protection
With Artesys, R.T. Jones plays an important role as a plan fiduciary. The Department of Labor (DOL) has designated the Managed Account as an option to provide financial safe harbors and liability protection to plan advisors and sponsors through two ERISA designations. As a 3(38) Investment Manager, it takes discretion, authority and control of participants’ assets for adherence to portfolio objectives and risk levels. As a 3(21) Investment Advisor, R.T. Jones serves as a co-fiduciary to the plan sponsor. R.T. Jones also offers portfolios that satisfy the DOL’s Qualified Default Investment Alternative, or QDIA, criteria.
Proven Professional Management
R.T. Jones has over 10 years of proven performance with its offensive and defensive investment management approach. A dedicated staff conducts market analyses and reviews and reallocates portfolios using a proven quantitative investment management discipline. As a managed account manager, Artesys augments advisors’ offerings and provides them with services and capabilities that help them stand out among clients and differentiate themselves from competitors. In addition, the firm doesn’t sell investment products or collect 12b-1 mutual fund fees.
Education: Upfront and Ongoing
Artesys’ personalized retirement evaluation tool, “Plot Me,” helps advisors’ clients better understand the relationship between risk and return. Through performance updates, Artesys reinforces the relationship between portfolio performance and the level of risk so participants can reach their retirement goals. This level of communication also helps address the plan sponsor’s ERISA education requirements.
“Never before has it been as important that everyone play to their strengths,” said Robert T. Jones, Chairman and CEO of R.T. Jones. “We developed Artesys to help advisors focus on what they do best by focusing on what we do best – helping plan participants realize their goals.”
Many financial advisors agree. Total assets under management for R.T. Jones have grown by 238 percent from March 31, 2011, to March 31, 2012.
877-880-2543 | www.rtjones.com
About R.T. Jones Capital Equities Management, Inc. R.T. Jones is a Registered Independent Advisor that provides retirement planning advice under its branded Artesys® solution, available only to professional advisors. For more information, visit www.rtjones.com or call 877-880-2543.