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AUSTIN CAPITAL RETIREMENT PLAN SERVICES
Proposal for Services
www.abetterwaytoretire.com | | 800.593.7232
1700 Pacific Ave. Suite 3650 Dallas, TX 75201
19800 MacArthur Blvd. Suite 300 Irvine, CA 92612
4600 S. Syracuse St. 9th Floor Denver, CO 80237
AUSTIN CAPITAL RETIREMENT PLAN SERVICES
PROVIDING UNRIVALED PLAN SERVICE SUPPORT, AND ACCESS TO INVESTMENT OPTIONS.
By harnessing a high-technology administration and recordkeeping system, combined with
unparalleled access to investment options, Austin Capital is able to offer your employees a
best-in-class retirement platform.
By partnering with Austin Capital, you will show your commitment to your employees
while helping to simplify your role as the plan sponsor.
The Austin Capital Platform offers:
• Open-architecture investment choices
• Full fee disclosure and transparency
• Help managing fiduciary risk
• Dedicated service team
WE’RE POSITIONED TO GROW WITH YOU
Austin Capital is uniquely positioned to service your plan as your company grows, whether you are a small company
or a well-established corporation. Our account service teams have the experience and tools to help take on
administrative burdens so that you can focus on growing your business. Austin Capital invests heavily in training as
well as technology enhancements so that you benefit, no matter your plan size.
COMPONENTS OF A SUCCESSFUL 401(K) PROGRAM
Austin Capital delivers a 401(k) program designed to help your plan perform and to help participants achieve
retirement readiness by working in partnership with your advisor and the custodian of the plan assets.
This partnership addresses all key areas of areas of plan operations:
Austin Capital Account
We work closely with your financial advisor
By working with your financial advisor on your behalf, we make it easier for you to
administer a plan that performs well and provides your employees with the help they need
to achieve retirement readiness.
COMMITTED TO A ONE-ON-ONE RELATIONSHIP, AUSTIN CAPITAL’S PROFESSIONALS HAVE THE EXPERTISE NEEDED TO FACILITATE PLAN OPERATIONS
INDIVIDUALIZED SERVICE AND SUPPORT TO HELP YOU KEEP YOUR FOCUS ON WHAT MATTERS - YOUR BUSINESS GROWTH
By providing an individual contact at Austin Capital from the plan setup process to the
ongoing plan operations, your experience with Austin Capital will be handled by someone
who is familiar with your particular needs. This personalized service model helps reduce the
time it takes to get answers and helps get your plan running smoothly from the start.
How does Austin Capital serve you?
We serve companies of all sizes
Austin Capital is set up to handle companies just starting out with a start-up plan or established companies with a plan
of considerable size. Our structure allows us to grow with you.
Open-Architecture investment options
With virtually unlimited investment options, Austin Capital is able to put into place the right mix of investment options
to suit your participants’ needs.
By choosing the right partners for your plan
Austin Capital works with numerous institutional financial partners to help find the right fit for your plan. From trust
and custodial partners to investment partners to advisory partners, Austin Capital brings you the best of the industry.
Dedicated plan setup support
During the plan setup and conversion process, you will work with an individual conversion representative until the plan
is set up and ready for contributions. The conversion representative will guide you through the process and provide
updates on a weekly basis about the status of the plan setup.
FLEXIBLE PLAN DESIGN CONSULTING AND OPEN-ARCHITECTURE INVESTMENTS
Austin Capital guides you through a consultative plan design process to ensure that the plan meets your needs from a
business perspective, as well as meets the needs of the plan participants.
Our open-architecture platform allows for virtually any investment option for your plan. From mutual funds to Exchange
Traded Funds (ETFs) to outside money managers, Austin Capital gives your plan the ultimate in investment choice to serve
your participants’ needs.
Choices for plan participants Our investment options are designed to suit a variety of needs.
“Do it myself” investors
have resources that can help
them build portfolios on their
own by selecting from your plan’s
“Do it with me” investors
can work with a financial advisor
to build their portfolios from your
plan’s investment choices.
“Do it for me” investors
may find value in target risk
models or target date funds that
are designed to provide asset
allocations uniquely suited to
their investing needs at the time.
PLAN FLEXIBILITY MEANS NO PROPRIETARY FUND REQUIREMENTS
Your plan can access over 20,000 funds from over 100 fund families
The list of fund families is for illustration purposes only and is only a sample representation of investment options
available. Not all funds may be approved for sale by the investment professional’s firm. Ask your financial advisor
about fund and share class availability.
PLAN MANAGEMENT & REPORTING
REPORTING TOOLS TO HELP YOU MONITOR PLAN OPERATIONS
The Austin Capital retirement plan platform has numerous tools and reports to help you manage plan operations.
Plan Level Reporting Our investment options are designed to suit a variety of needs.
• Review Plan Participation Levels
• Review Contribution Metrics
• Monitor Transfers & Withdrawals
• Monitor Participation By Age Groups
• Fee Disclosure And Benchmarks
PLAN MANAGEMENT TOOLS
COMPLETE TRANSACTIONAL FUNCTIONALITY FOR PLAN PARTICIPANTS
It also provides a wealth of information for plan participants to help keep them informed and engaged with this benefit program.
Participant Level Tools Our investment options are designed to suit a variety of needs.
• Portfolio Summary Snapshot
• Time-Weighted Rate of Return
• Transaction History
• Education Booklet
Time-Weighted rate of return
Transaction History Participant Statement
PARTICIPANT LEVEL TOOLS
PROVIDING PARTICIPANTS WITH IMPACTFUL TOOLS TO PLAN FOR RETIREMENT
The tools available to employees are unrivaled and designed to help them achieve their retirement goals.
With easy-to-understand language and a simple web-based interface, our system creates a personalized experience for
With enrollment materials available online that clearly explain the benefits of retirement savings plans, participants are
given access to numerous tools to help them plan their retirement path. From asset class descriptions to risk profile
analysis, your employees are able to make informed decisions to help with their enrollment.
YOU CAN PROVIDE AN EFFECTIVE EMPLOYEE EXPERIENCE
Advice tool walks
analysis of their
process gets to know
their financial picture
in order to create
savings plan and
There are numerous
educational tools and
to help them with
their entire financial
AUSTIN CAPITAL CONSULTING SERVICES
Fee Disclosure & Benchmark Reporting
Investment Policy Statement
AUSTIN CAPITAL CAN PROVIDE A NUMBER OF SERVICES TO HELP REDUCE TIME SPENT ADMINISTERING YOUR PLAN AND FIDUIARY LIABILITY
3(21) Fiduciary Services One of the critical roles as the plan sponsor is to ensure that appropriate investment options are available for plan participants.
Going beyond the initial fund selection when your plan is set up, your fiduciary role regarding investments does not end – you
need to have a process in place to effectively and objectively monitor the investment options so that appropriate changes can
be made as needed. And more importantly, you need to have documentation available to support that this process is being
With Austin Capital’s 3(21) fiduciary service, o