ERISA/Retirement Plans

We provide advice from one fiduciary to another.

Being a fiduciary for a Plan involves many factors so:

“If you don't have time to do it right, when will you have time to do it over?” John Wooden

We un-complicate the complicated as it relates to the Internal Revenue Service (IRS) and the Department of Labor (DOL). In any plan there are risks, inefficiencies, bias and complex service models for you as a Plan Sponsor Fiduciary to not only consider but you must know once you make the decision.  Our years of fiduciary experience ranges from Fortune 500 companies to small and medium businesses. Our only goal is for us to help you mitigate your liability and enhance your overall plan management efficiency by understanding what YOU as a Fiduciary are responsible for.

We provide advice from one fiduciary to another.

ERISA Plan Education, Consulting and Advising 

  • ERISA Fiduciary Education and Training
    • Boards
    • Other Fiduciaries and others that work on ERISA/401(k) Plans
  • ERISA Plan Consulting/Advising - including The FIRE System -
  • Proprietary Fiduciary and Plan Risk Assessments - reviews all your Fiduciary Duties including your relationships with Plan Providers
  • Participant Investment Education

Akros works with OTB Strategic Consulting, Inc. and other partners to bring our clients:

  • We provide an Un-biased, Independent, Objective Educational  Approach in showing you what being a Fiduciary means and how to be one
  • Standards that Deliver a Consistent Client Experience through the knowledge you will gain on how to be a Fiduciary
  • Confidence and Direction through our Financial Investment Expertise, and Experience that you can replicate
  • Innovative Solutions through Our Depth and Breadth of Knowledge and Expertise that will give you the knowledge on how your Plan should be operated
  • Fiduciary Risk Mitigation through a Prudent Risk Process Management approach
  • A complete Investment Review Process for you to implement based on your plan’s Investment Policy Statement so those you select to provide investments to your plan will adhere to their Stated Styles and Objectives of Investments.
  • Co-Fiduciary 3(21) that will be there to help and assist you on your investment selection for your plan and your participants

Our Services

Speaking Opportunities

The principals of Akros have had the privilege of being a speaker or panelist at national conferences, community groups, corporations, DB/DC/401(k) participants, executive groups and others.  If you are interested in having one of us speak to your group, please contact us directly.

Investor Services

Chief Fiduciary Oversight (CFO) Program
Akros provides independent guidance to help individuals and businesses structure their investments to meet both their business, personal short and long term investment goals. Just as the CFO in business oversees the complete financial life of the business, we do the same for individuals.  As an independent fiduciary, we oversee each aspect of the client’s financial life to make sure there are no conflicts and to make sure everyone is in line with the client’s goals.  It's all about the simplicity and clarity that comes from making the connection between your financial goals and what's truly important to our client.

Asset/Portfolio Review
Akros provides specific consultation and administrative services for individuals and business clients who want an independent third party review, education regarding investment options available to them, or an opinion concerning their assets, their advisor, or their financial situation. Whether you have an advisor or you direct your own assets, we can preform an independent assessment to see how you are doing without any sales pressure.  Clients can also receive advice in such areas as negotiations, risk management, estate planning, retirement planning, philanthropy, gift administration, existing portfolio review, or any other specific topic Client may identify and contract with Akros to perform.

Women’s Fiscal Fitness Program

Women each day control more and more of the wealth in our nation. As the world of investments and finances get more complicated Women are coming more in the forefront as the bread winner and financial person in the home and in their own businesses. Akros has designed a series of free or low cost talks and a 3-1/2 hour Boot Camp to help women be independent and take control of their financial lives. 100% of all relationships and marriages will end (Death and Divorce) … take CONTROL now!

Business/Institutional Services

Here is a short summary of Akros’ services. The list below is not all-inclusive. We customize our services to fit your firm’s individual compliance needs.

Governance, Risk Management and Compliance

  • Mock SEC and State Exams
  • Investment Adviser Written Supervisory Procedures Manual
  • Code of Ethics Audit, Review and Update
  • Fiduciary and Compliance Audits
  • SEC Rule 206(4)-7 Testing/Annual Reviews
  • Due Diligence/Verifications

Akros provides consultative services to organizations and their boards that are designed to create and protect value and enhance effective management of their strategic, financial, compliance, regulatory, and operational risks.

Compliance Support and Consultations

Akros provides consultative services to organizations and their Boards that are designed to create and protect value and enhance effective management of their strategic, financial, compliance, regulatory, and operational risks.

Our professionals have real world experience and expertise regarding investment advisory regulatory requirements, running successful firms, surviving SEC and state audits and broad experience in the investment adviser industry including mergers and acquisitions, trusts, mutual fund creation and oversight, Boards, due diligence, and ERISA plan . We understand the enormous demands made on today’s investment advisory firm managers - time is money and both are valuable.

We provide compliance consulting services in the following areas:

  • Assistance with Growing Your Business by Increasing Market Share or Introducing New Products or Areas Such as Specialty Areas like Trust Accounts
  • Assistance with Marketing Materials and Answers Marketing Compliance Concerns
  • Assistance with Sales Process and Closing Business
  • Assistance with Chinese Walls for Dual Registrants
  • Assistance with Review and Analysis of Regulatory Inquiries
  • Assistance with Monthly, Quarterly and Annual Filing Deadlines
  • Assistance with Compliance Matters that May Arise During the Course of the Business Day
  • Updates on New and Amended Rules
  • Research and Answers to Specific Investment Adviser Compliance or and Registration Questions