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SEC-Registered Investment Advisors

for 401(k) Easy Online run-it-yourself 401k plans


Use 401(k) Easy to run your clients' 401k plans


Have your clients run their own 401k plans using 401k Easy Online with you as the designated investment advisor


SEC-Registered Investment Advisors receive a 5% discount on 401k Easy Online


Join the SEC-Registered Investment Advisor Business Alliance Program


Custody of 401(k) Assets


Develop Custom Portfolios


[topic 1]

Use 401k Easy Online to Run Your Clients' 401(k) Plans

You can use a slightly modified 401k Easy Online system to handle your clients' 401k plan administration with the same ease and efficiency granted to our traditional self-service 401k Easy Online customers. Read on, or simply contact us for details.

-- As an SEC-Registered Investment Advisor, you qualify to purchase 401k Easy Online at a 5% discount.

-- You'll enjoy the same plan-specific system customization that enables our small business clients to run their 401k plans in less than 15 minutes a month, on average.

-- Your clients will supply you with their monthly payroll and census data, and you'll process the data using specially customized 401k Easy Online plan administration software.

-- You'll act as liaison between your clients and the investment company(ies) and/or brokerage account company(ies) they've chosen for their 401k plans.

-- If you're an SEC-Registered Investment Advisor, you'll earn ALL investment fees generated by your clients' plans; we NEVER take a cut.

-- You get all of 401k Easy Online's great automated and plan-specific features, so running your clients' plans is quick and efficient.

-- 401k Easy Online lets you offer your clients valuable services such as monthly plan compliance testing and monthly participant account statements. Because the services are highly automated within 401k Easy Online and included free of charge, offering them to your clients costs your company little more than a few seconds of labor time.

-- Your clients receive a quality plan that has all the flexibility and per-company customization features of a self-run 401k Easy Online plan with the luxury of having you handle the data processing and investment company interaction.

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[topic 2]

Have Your Clients Run Their Own 401k Plans Using 401k Easy Online with You as the Designated Investment Advisor

With 401k Easy Online you have the option of using our customized 401k systems to run your clients' 401k plans from your offices or having each client run its own 401k plan from its own office -- with you collecting any asset-based investment fees either way.

-- What could be easier? You refer the client to us, we create a 401k plan and plan administration system specific to your client's needs and funding investments of your recommendation to the client, the client handles its own plan administration and you'll collect all asset-based fees.

Your clients can receive a discount on purchasing 401k Easy Online, too, if you register with us as an SEC-Registered Investment Advisor (see below) and/or as a Referral Partner (see our Referral Partner page). SEC-Registered Investment Advisors receive a 5% discount on 401k Easy Online purchases they make (a savings they can pass onto their clients in reduced 401k administration fees, for instance); Referral Partners earn a commission per system purchased by their clients, or they can choose to qualify each client to receive a rebate on its purchase of 401k Easy Online.

-- You must be registered with us as an SEC-Registered Business Alliance Partner (go to SEC Partner registration) and/or Referral Partner (go to Referral Partner registration) before the purchase is made for you (or your clients) to be eligible for the applicable discounts and rebates.

-- Joining any of the 401k Easy Online Business Alliance Programs is absolutely FREE and puts you under no obligation to refer any client to us.

-- We never ask you to divulge any client information beyond that specific to an order actually being placed, and we never market related -- or unrelated -- products to your clients.

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[topic 3]

SEC-Registered Investment Advisors Receive a 5% Discount on 401k Easy Online

401k Easy Online is licensed annually, with the software and companion materials updated each year in light of 401k regulatory changes as well as general technological advances. Each client pays...

-- A one-time, non-refundable, first-year-only 401k plan setup and software customization fee of $995. No discounts are given on this fee.

-- An annual license fee that is based on plan size. For instance, a plan serving 1 to 4 employees costs just $1195 a year, one serving 5 to 10 employees costs $1295 a year, and one serving 16-20 employees costs $1695 a year. The plans you administrate will receive a 5% discount on this annual fee EVERY YEAR.

Please visit our Pricing page to view a complete price list and read about related information (such as free technical support), or click here to view only our annual fee price list.


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[topic 4]

Join 401(k) Easy's SEC-Registered Investment Advisor Business Alliance Program

Please complete the below regarding your qualifications to join the 401(k) Easy SEC-Registered Investment Advisor Business Alliance Program. A representative will then contact you about using 401k Easy Online to run your clients 401k plans.

-- Completing the below IN NO WAY obligates you to purchase anything, nor will we ever ask you to divulge any client information (beyond that pertinent to specific orders for 401k systems).


SEC-Registered I.A. Business Alliance Program Application

Your name:

Your firm:









E-mail (optional):

SEC license number:

State Licenses:

In what states are you a certified public accountant? (check all that apply)





So. Carolina




So. Dakota



New Hampshire




New Jersey




New Mexico




New York




No. Carolina




No. Dakota





W. Virginia














Rhode Island


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[topic 5]

Custody of 401(k) Assets

401k Easy Online is the retail version of 401k Enginuity, our wholesale product offered to plan providers and advisors. The 401k Enginuity administration and recordkeeping platform is the most economical and efficient way an advisor can provide a branded, full-feature 401(k) to his or her clients. For specifics and wholesale pricing information please go to www.401kenginuity.com. In addition to offering advisors economical and comprehensive third-party 401(k) administration and recordkeeping, we offer 401(k) asset custody at the following financial institutions:

Charles Schwab
Fidelity Brokerage
Pershing Advisor Solutions
TD Ameritrade/Fiserv

We can easily add other custodians to the list. Please contact us directly at (800) 660-0050 for specifics and a quote.


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[topic 6]

Develop Custom Portfolios

It is now possible for you to offer your clients custom portfolios made from your selection of no-load mutual funds. You name and "brand" these custom portfolios as you see fit, and offer them as part of an overall lineup of 401(k) investment options. For more information about creating custom portfolios, please click here.

For a detailed and comprehensive description of this new service for financial advisors, please see www.portfoliosetup.com  

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