« Back

*Source: “PLANSPONSOR 2009 Retirement Plan Adviser Team of the Year,” May 2009. August 29, 2016. © 1989-2008 Asset International Inc. All rights reserved. PLANSPONSOR is not affiliated with Fiduciary Investment Advisors, LLC (“FIA”).  PLANSPONSOR accepted online nominations for the 2009 Retirement Plan Adviser Team of the Year award from retirement plan advisers, their employers and/or broker/dealers, and plan sponsors, as well as from working partners of these advisers. The award was based on a qualitative evaluation based on interviews with clients of those advisers selected by PLANSPONSOR who “emerged as superior from a quantitative evaluation of their current service levels.” Such quantitative elements included increased participation rates, enhanced rates of participant deferrals, improved asset allocations, reduced fees, and expanded service levels. The award is intended to recognize the contribution of advisory teams that specifically have been structured in a way that allows each member to specialize in a particular plan need in delivering services. Finalists were drawn from a combination of qualitative and quantitative evaluation, following an individual interview with a panel of judges.

Neither FIA nor any other participating advisers paid a fee to be eligible for the “PLANSPONSOR 2009 Retirement Plan Adviser Team of the Year” ranking. FIA is unaware of any undisclosed facts that could potentially invalidate the appropriateness of the award. To the best of FIA’s knowledge: FIA was the only recipient of this particular award; participating advisers met certain eligibility criteria reasonably designed to ensure that a participating adviser has an established and significant history and record free from regulatory sanctions; the award represents a statistically valid sample of the responses given by FIA’s clients, and from other participating advisers; PLANSPONSOR would not issue the award to FIA unless the responses were statistically valid; the award does not emphasize favorable client responses or ignore unfavorable client responses; the survey promulgated by PLANSPONSOR was not prepared to produce any pre-determined favorable results and was structured in a way to may it equally easy for a respondent (including FIA’s clients) to provide a negative or positive response.

The award may not be representative of any one client’s experience because it reflects a quantitative and qualitative analysis of a sample of the experiences of the adviser’s clients and other advisers’ clients. The award is absolutely not indicative of FIA’s future performance, or any future performance pertaining to its clients’ investments. This award or any other rankings and/or recognition by unaffiliated rating services and/or publications should not be construed as a guarantee that a client will experience a certain level of results or satisfaction if FIA is engaged, nor should it be construed as a current or past endorsement by any of its clients.  A copy of FIA’s current written disclosure statement discussing its advisory services and fees remains available upon request.