Why should you choose us?

Our goal is to be flexible and offer the retirement plan services best suited to each plan sponsor's needs.

For qualified retirement plan sponsors, we can provide services based on two different models: As the broker of record or as a fee-based 3(21) fiduciary.

We are able to provide investment monitoring, fund research and fiduciary services backed by the resources and financial strength of one of the world’s largest financial services firms that has an extensive history of investment research and hands on personal financial advisory services. These services as well as tailored employee education and financial wellness programs, are able to be delivered by an advisor that knows the retirement plan landscape. The goal is highly personalized service at the local level backed by significant resources.

 

Independence

We do not offer proprietary recordkeeping products nor are we hindered by incentives or requirements to offer proprietary investment products. This allows us to serve as a fiduciary on your plan and offer conflict-free advice. This is in sharp contrast to competitors that also offer recordkeeping and/or investment products. Our group also has a 100% open architecture platform, meaning we can work with any record keeper or investment provider.

RBC WM provides services to private and public retirement plans, non-profits, foundations and endowments totaling over 5,100 plans and $19 billion in assets. These plans range in size from one person start-up plans to plans with $2.5+ billion in assets and thousands of participants.

Retirement plan services offered by RBC Wealth Management:

  • Fiduciary, operations and governance guidance for the plan
  • Assist with development and review of the Investment Policy Statement
  • Assist with the investment selection, monitoring & review process
  • Conduct periodic plan reviews with the Investment Committee
  • Provide ongoing support to assist with managing fiduciary responsibilities
  • Assist in the selection of administrators, custodians, or other needed service providers
  • Assist with employee education and communications
  • Work closely with each plan’s record-keeper to ensure that plan sponsors are aware of any compliance and regulatory updates that may affect them.
  • Benchmark the Plan's design, fees and services. We work with the plan’s record-keeper and other service provider to compile data for the analysis.
  • RBC provides newsletters on quarterly basis for both our plan sponsors and plan participants.

For plans being serviced through the RBC Institutional Consulting (RIC) advisory program, RBC WM will acknowledge that we are providing services as an investment adviser registered under the Investment

Advisers Act of 1940, and that we are a fiduciary within the meaning of ERISA Section 3(21) (A) (ii) to the extent that we provide investment advice for compensation.

Brett H Bartman

Managing Director - Financial Advisor, Senior Consulting Group

310-205-7794 | Email |

Client Strategies Team

The Client Strategies Team is a resource to help support you in your wealth planning goals, developing a strong understanding of your personal financial objectives, gathering valuable information and addressing complex financial and wealth strategies issues. Explore the bios below to learn more about the team.

advisor

Wealth Management Consultant


advisor

Divisional Retirement Plan Consultant