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  • Front Cover

    Note: Piece is printed as a flat and then folded to Presentation Folder.

    Artwork on the pockets must be positioned upside down to appear

    correctly on the finished piece.

    AUSTIN CAPITAL RETIREMENT PLAN SERVICES

    Proposal for Services

  • www.abetterwaytoretire.com | | 800.593.7232

    Dallas

    1700 Pacific Ave. Suite 3650 Dallas, TX 75201

    Irvine

    19800 MacArthur Blvd. Suite 300 Irvine, CA 92612

    Denver

    4600 S. Syracuse St. 9th Floor Denver, CO 80237

    @retirebetterfacebook.com/retirebetter

    AUSTIN CAPITAL RETIREMENT PLAN SERVICES

    PROVIDING UNRIVALED PLAN SERVICE SUPPORT, AND ACCESS TO INVESTMENT OPTIONS.

    By harnessing a high-technology administration and recordkeeping system, combined with

    unparalleled access to investment options, Austin Capital is able to offer your employees a

    best-in-class retirement platform.

    By partnering with Austin Capital, you will show your commitment to your employees

    while helping to simplify your role as the plan sponsor.

    The Austin Capital Platform offers:

    • Open-architecture investment choices

    • Full fee disclosure and transparency

    • Help managing fiduciary risk

    • Dedicated service team

  • WE’RE POSITIONED TO GROW WITH YOU

    Austin Capital is uniquely positioned to service your plan as your company grows, whether you are a small company

    or a well-established corporation. Our account service teams have the experience and tools to help take on

    administrative burdens so that you can focus on growing your business. Austin Capital invests heavily in training as

    well as technology enhancements so that you benefit, no matter your plan size.

    COMPONENTS OF A SUCCESSFUL 401(K) PROGRAM

    Austin Capital delivers a 401(k) program designed to help your plan perform and to help participants achieve

    retirement readiness by working in partnership with your advisor and the custodian of the plan assets.

    This partnership addresses all key areas of areas of plan operations:

    2

  • 2

    SERVICE

    Austin Capital Account

    Executive

    Processing

    We work closely with your financial advisor

    By working with your financial advisor on your behalf, we make it easier for you to

    administer a plan that performs well and provides your employees with the help they need

    to achieve retirement readiness.

    COMMITTED TO A ONE-ON-ONE RELATIONSHIP, AUSTIN CAPITAL’S PROFESSIONALS HAVE THE EXPERTISE NEEDED TO FACILITATE PLAN OPERATIONS

    3

  • 3

    INDIVIDUALIZED SERVICE AND SUPPORT TO HELP YOU KEEP YOUR FOCUS ON WHAT MATTERS - YOUR BUSINESS GROWTH

    By providing an individual contact at Austin Capital from the plan setup process to the

    ongoing plan operations, your experience with Austin Capital will be handled by someone

    who is familiar with your particular needs. This personalized service model helps reduce the

    time it takes to get answers and helps get your plan running smoothly from the start.

    How does Austin Capital serve you?

    We serve companies of all sizes

    Austin Capital is set up to handle companies just starting out with a start-up plan or established companies with a plan

    of considerable size. Our structure allows us to grow with you.

    Open-Architecture investment options

    With virtually unlimited investment options, Austin Capital is able to put into place the right mix of investment options

    to suit your participants’ needs.

    By choosing the right partners for your plan

    Austin Capital works with numerous institutional financial partners to help find the right fit for your plan. From trust

    and custodial partners to investment partners to advisory partners, Austin Capital brings you the best of the industry.

    Dedicated plan setup support

    During the plan setup and conversion process, you will work with an individual conversion representative until the plan

    is set up and ready for contributions. The conversion representative will guide you through the process and provide

    updates on a weekly basis about the status of the plan setup.

    4

  • PLAN DESIGN

    FLEXIBLE PLAN DESIGN CONSULTING AND OPEN-ARCHITECTURE INVESTMENTS

    Austin Capital guides you through a consultative plan design process to ensure that the plan meets your needs from a

    business perspective, as well as meets the needs of the plan participants.

    Our open-architecture platform allows for virtually any investment option for your plan. From mutual funds to Exchange

    Traded Funds (ETFs) to outside money managers, Austin Capital gives your plan the ultimate in investment choice to serve

    your participants’ needs.

    Choices for plan participants Our investment options are designed to suit a variety of needs.

    “Do it myself” investors

    have resources that can help

    them build portfolios on their

    own by selecting from your plan’s

    investment menu.

    “Do it with me” investors

    can work with a financial advisor

    to build their portfolios from your

    plan’s investment choices.

    “Do it for me” investors

    may find value in target risk

    models or target date funds that

    are designed to provide asset

    allocations uniquely suited to

    their investing needs at the time.

    5

  • 5

    PLAN FLEXIBILITY MEANS NO PROPRIETARY FUND REQUIREMENTS

    Your plan can access over 20,000 funds from over 100 fund families

    The list of fund families is for illustration purposes only and is only a sample representation of investment options

    available. Not all funds may be approved for sale by the investment professional’s firm. Ask your financial advisor

    about fund and share class availability.

    6

  • PLAN MANAGEMENT & REPORTING

    REPORTING TOOLS TO HELP YOU MONITOR PLAN OPERATIONS

    The Austin Capital retirement plan platform has numerous tools and reports to help you manage plan operations.

    Plan Level Reporting Our investment options are designed to suit a variety of needs.

    • Review Plan Participation Levels

    • Review Contribution Metrics

    • Monitor Transfers & Withdrawals

    • Monitor Participation By Age Groups

    • Fee Disclosure And Benchmarks

    Investment Reports

    Fee Disclosure

    Activity Reports

    Plan Reports

    PLAN MANAGEMENT TOOLS

    7

  • 8

    COMPLETE TRANSACTIONAL FUNCTIONALITY FOR PLAN PARTICIPANTS

    It also provides a wealth of information for plan participants to help keep them informed and engaged with this benefit program.

    Participant Level Tools Our investment options are designed to suit a variety of needs.

    • Portfolio Summary Snapshot

    • Time-Weighted Rate of Return

    • Transaction History

    • Education Booklet

    Portfolio Summary

    Time-Weighted rate of return

    Transaction History Participant Statement

    Education Booklet

    PARTICIPANT LEVEL TOOLS

  • PARTICIPANT EDUCATION

    PROVIDING PARTICIPANTS WITH IMPACTFUL TOOLS TO PLAN FOR RETIREMENT

    The tools available to employees are unrivaled and designed to help them achieve their retirement goals.

    With easy-to-understand language and a simple web-based interface, our system creates a personalized experience for

    your employees.

    With enrollment materials available online that clearly explain the benefits of retirement savings plans, participants are

    given access to numerous tools to help them plan their retirement path. From asset class descriptions to risk profile

    analysis, your employees are able to make informed decisions to help with their enrollment.

    9

  • 9

    YOU CAN PROVIDE AN EFFECTIVE EMPLOYEE EXPERIENCE

    The Online

    Advice tool walks

    participants through

    a comprehensive

    analysis of their

    retirement readiness.

    The step-by-step

    process gets to know

    their financial picture

    in order to create

    a comprehensive

    savings plan and

    projections.

    There are numerous

    educational tools and

    calculators available

    for participants

    to help them with

    their entire financial

    profile.

    10

  • AUSTIN CAPITAL CONSULTING SERVICES

    Fee Disclosure & Benchmark Reporting

    Investment Policy Statement

    AUSTIN CAPITAL CAN PROVIDE A NUMBER OF SERVICES TO HELP REDUCE TIME SPENT ADMINISTERING YOUR PLAN AND FIDUIARY LIABILITY

    3(21) Fiduciary Services One of the critical roles as the plan sponsor is to ensure that appropriate investment options are available for plan participants.

    Going beyond the initial fund selection when your plan is set up, your fiduciary role regarding investments does not end – you

    need to have a process in place to effectively and objectively monitor the investment options so that appropriate changes can

    be made as needed. And more importantly, you need to have documentation available to support that this process is being

    managed.

    With Austin Capital’s 3(21) fiduciary service, o

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