Self Directed Brokerage Account Management


Self Directed Brokerage Account (SDBA) management is ideal for participants of 401(k), 403(b), or 457 accounts. The relationship listed on top of this page give advisors access to nearly every retirement platform in the country. We accept full fiduciary responsibility and provide a legal safe harbor as defined by the applicable sections of the ERISA federal retirement law and the Internal Revenue Service Code.

We offer a combination of three unique investment management strategies (see below). All options use diversified asset allocation strategies to control risk without inhibiting investment flexibility. Your representative, along with our portfolio management team, determines which of the various options should be offered based on the goals, objectives, risk tolerance, needs, and time frame of the participants.

Our retirement account management is ideal for a wide range of clients. Designed for both a participant who is just beginning to save for retirement as well as a participant with an established account who is preparing to retire.



Custodial Relationships

• BOK Financial – Self Directed Brokerage Account
• Empower – Empower Brokerage Services
• Fidelity – BrokerageLink®
• Pershing – Self Directed Brokerage Account
• Princor (Principal) – Self Directed Brokerage Account
• Prudential Brokerage – Self Directed Brokerage Account
• Schwab – Personal Choice Retirement Account (PCRA)
• TDAmeritrade – Self Directed Brokerage Account
• TIAA-CREF – Brokerage Services
• TRowe Price – TradeLink®
• Vanguard – Vanguard Brokerage Option (VBO)

Primary Benefits

• Full Acceptance of Fiduciary Responsibility
• Active Management
• Relationship with the Largest Retirement Plan Providers
• Risk Management Optimization
• Featuring

Brokerage Window Retirement Plan Strategies

The Standard & Poor’s 500 Stock Index Consists Of 500 Stocks Chosen For Market Size, Liquidity And Industry Grouping, Among Other Factors. The Market Value-Weighted Index Is Designed To Be A Leading Indicator Of The U.S. Equities, Is Meant To Reflect The Risk/Return Characteristics Of The Large Cap Universe And Includes The Reinvestment Of All Dividends. Indexes Are Unmanaged And Cannot Be Invested Into Directly. Investing In Limited Sectors May Increase Overall Volatility Of Your Portfolio. Investing In Any Securities Involves A Risk Of Loss.