NQDC
NAPAFIRMPARTNERS
Broadridge Financial Solutions Denver, CO Broadridge.com
Key Contact(s) Michael Hlavin 847.562.0743 Michael.Hlavin@Broadridge.com Advisor Sales 866.390.5080 Sales@Broadridge.com
Firm Profile
Broadridge Retirement and Workplace combines the power of Matrix and Fi360 to streamline the ways you engage investors and help them reach their goals. Thrive amid change with a partner that always puts you first. As an independent platform, we’ll help you seize opportunities with greater speed and fewer worries. • Accelerate growth by incorporating next-gen technologies and services that maximize business intelligence and performance. • Improve risk management with comprehensive oversight tools and industry-leading certification resources. • Scale your business using automation, real-time analytics, and an industry-leading retirement plan trust and custody along with an omnibus trading platform. For non-qualified plans specifically, you can rely on the vital trading, custodial, and consultation services needed for these unique plan types. From plan inception through change in control transactions, you get flexible funding options, discretionary trustee services, paying agent services, and so much more. Leverage Broadridge Retirement and Workplace as your independent third party with 25+ years’ experience dedicated to non-qualified plan services.
Primary Market(s) Served
Large: 101 to 500 eligible participants and $1,000,001 to $5,000,000 in annual contributions Mega: 500 eligible participants and > $5,000,000 in annual contributions
Informal Funding Supported
Separate Account Life Insurance, General Account Life Insurance, Institutional Investments, Annuities, Exchanged-Traded Funds (ETFs), Company Stock, Mutual Funds, Unfunded – Springing Trust, Alternative Investments, Hybrid Financing Other Services In-House Legal Staff, RFP Director, Business Intelligence and Data Aggregation Tools
Key Differentiating Services
• Serves as an experienced directed trustee, discretionary trustee and/or custodian for both revocable and irrevocable trusts from plan inception through change in control transactions • Over 25 years of experience in trust/custody administration for NQDC plans and a dedicated NQDC client services team servicing 1,600+ plans and $25 billion in assets • COLI servicing and reporting with automated links to most major carriers for cash surrender values • 1041 Informational Tax Letter preparation and filing • Automated trading links with many TPA partners • Paying agent services and participant tax reporting for both W2 and 1099-NEC tax forms • Mutual fund revenue sharing collection services • Online web portal provides plan investment holdings, transactions history and activity details for benefit payments • Directed trustee/custodian consolidated reporting services for assets held away at your preferred custodian • Educational opportunities via webinar series • Sponsor of NAPA Non-Qualified Designation Program • Discretionary Trustee Services upon Change in Control
Micro: < 10 eligible participants and < $250,000 in annual contributions Small: 11 to 50 eligible participants and $250,001 to $500,000 in annual contributions, Mid: 51 to 100 eligible participants and $500,001 to $1,000,000 in annual contributions
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NAPABLACKBOOK2023