Recordkeepers
NAPAFIRMPARTNERS
ADVISORS’ CHOICE RECORDKEEPER
2023
Ubiquity Retirement+Savings San Francisco, CA myubiquity.com
Key Contact(s)
Platform(s) Used
Karen Benewith 415.766.3754 kbenewith@myubiquity.com
Schwab and Matrix Trust Companies
Asset Allocation Funds
Mike Cohen 720.289.0159 mcohen@myubiquity.com
Open architecture, 30k + MF’s and ETF’s
Firm Profile
Ubiquity Retirement + Savings is the #1 ranked plan provider to small businesses, per Google and the Better Business Bureau. Partner with us to help your small business and solopreneuer clients get a customized 401(k). You choose your level of involvement and Ubiquity will take care of the education and employer training. Our seasoned team of experts handles nondiscrimination testing and Form 5500 needs. Fully bundled or custom, our solutions follow your investment strategy.
Primary Market(s) Served
Advisor Support Services
External Wholesalers Focused on Advisors: 3 External Wholesalers Focused on Institutional: 2 Internal Wholesalers Focused on Advisors: 2 Internal Wholesalers Focused on Institutional: 2 • Compliance Support • Plan Benchmarking • Training for DC Plan Sales/Service
Participant Support Services
• Rollover Services • Call Center Support • Facebook Page • Smartphone Access to Participant Balances • Smartphone Transaction Access for Participants
Plan Sponsor Service(s) Available Micro: <$1 million Small: $1-$10 million
Digital platform with easy plan setup. Ubiquity provides flat fee recordkeeping, compliance, administration, servicing, robust reporting, and enrollment support. Optional 3(38) and financial wellness tools.
Plans / Participants Served by Type*
401(k): Plans: 10,000 / Participants: 9,250 403(b): Plans: 0 / Participants: 0 457: Plans: 0 / Participants: 0 Cash Balance: Plans: 0 / Participants: 0 Defined Benefit (Traditional): Plans: 0 / Participants: 0 Money Purchase: Plans: 0 / Participants: 0 NQDC: Plans: 0 / Participants: 0 Other: Plans: 0 / Participants: 0
*as of 6.30.23
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NAPABLACKBOOK2023