How do you indy RIA's handle small and/or solo 401k plans? Any good recommendations for a starting point for someone who hasn't done any of this type of business as an RIA?

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John Hancock, Voya, Principal, Empower. Team up w a wholesaler for each of those companies and they can teach you enough to get by. That being said, there are a lot of nuances with Advisory roles on ERISA and non-ERISA plans - if you mess them up or don’t know what you’re doing, you’re exposed to personal financial liability. I don’t recommend venturing into this space unless you’re well equipped....if not, partner with someone who does.

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Could you define “handle”? I’ve set up Solo 401k plans before using Invesco. What specific questions do you have?

TD. Open platform. Easy. AUM based.

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