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Retirement Plans - RIA Question

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Jul 12, 2010 1:29 am

Can RIA reps administor retirement plans such as 401ks?

Jul 12, 2010 1:19 pm

But they can't collect commissions on them.

Jul 12, 2010 1:20 pm

NOTE: that's assuming the IAR is not dually-registered is a RegRep.

Jul 12, 2010 9:01 pm


Jul 13, 2010 4:31 pm

Are you really talking administration or are you considering advising?  Administration is usually done by a broker with back-end systems, like Fidelity or Vanguard.  I believe this requires a lot of infrastructure to be compliant and margins are extremely thin.  Advisory work can be done without the overhead on a fee basis that is either fixed or dependent on the AUM.