For many years, the investment options offered in company-sponsored retirement plans were limited to a pre-selected list of mutual funds and annuity contracts. However, thousands of employers have enhanced their retirement plans to include a brokerage window opportunity so that plan participants have more choices and greater flexibility with their retirement investments. This option, known as the Self-Directed Brokerage Account (SDBA), exists in 401(k), 403(b), or 457 plans where participants have access to stocks, bonds, mutual funds and ETFs.
There were about 600,000 401(k) plans, with about 60 million active participants and millions of former employees and retirees.
For employees of public schools and other tax exempt organizations
Retirement plan participants may include teachers, school administrators, professors, government employees, nurses, doctors, and librarians. Over $1 trillion market size.
Deferred Compensation Plans
Offered to state and local government employees such as police officers, firefighters, or other civil servants. Another market with an over $1 trillion market opportunity.
82% of financial professionals
expect increased public demand
for financial planning over the
next 5 years, driven by individual
retirement needs and younger
generations seeking advice.
Start capturing new AUM with
SDBA, create reoccurring revenue
from your in-plan advice, and ride
the big wave ahead.
Ready. Set. Grow.
Combining Self-Directed Brokerage Account Management and in-plan advice is one of the largest AUM gathering strategies we’ve seen in years. The Pacific Financial Group is ready to help grow your practice.
Top Tier Tamp Structure
Brings a top tier TAMP structure to in-plan advice.
Over 30 Models
Over 30 models to choose ranging from conservative to aggressive.
World-Class Asset Managers
Pairs TPFG oversight with strategies from a powerful lineup of world-class asset managers.
Unique models to meet your
Allows advisors to provide unique and sophisticated modeling to clients within their current contribution plans.
Advisory services provided by The Pacific Financial Group, Inc. (“TPFG”) a Registered Investment Adviser. The information is for informational purposes only and should not be relied on or deemed the provision of tax, legal, accounting or investment advice. Past performance is not a guarantee future results. All investments contain risks to include the total loss of invested principal. Diversification does not protect against the risk of loss. Investors should review all offering documents and disclosures and should consult their tax, legal or financial professional before investing.
Capital Group® | American Funds® are registered marks of The Capital Group Companies, Inc. BlackRock® is a registered mark of BlackRock, Inc. MFS is a registered mark of MFS Investment Management. JPMorgan is a proprietary mark of JPMorgan Chase & Co. Fidelity Institutional AM® and the Fidelity Investments logo are registered service marks of FMR LLC. PIMCO is a proprietary mark of Pacific Investment Management Company LLC. BNY Mellon is a proprietary mark of The Bank of New York Mellon Corporation. Meeder is a proprietary mark of Meeder Investment Management. Janus Henderson Investors is a proprietary mark of Janus Henderson Group PLC. Invesco is a proprietary mark of Invesco Ltd. Counterpoint is a proprietary mark of Counterpoint Asset Management, LLC. Wilshire is a proprietary mark of Wilshire Advisors, LLC. In each instance, the mark is used with permission.
No representation are made by any of the noted strategists.