Folio Institutional Solves the Fiduciary Duty Puzzle with KTRADE Partnership


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Folio Institutional Solves the Fiduciary Duty Puzzle with KTRADE Partnership

Partnership improves open - architecture retirement plan s’ administration, investment choices and costs

McLean, Va., March 30 , 2016Folio Institutional, the comprehensive one - stop platform for registered investment advisors (RIAs) that combines clearing, custody and a broad array of innovative technology services , announced today that it has partnered with North American KTRADE Alliance, LLC (KTRADE). Together, Folio and KTRADE give plan sponsors and their advisors a better way to avoid conflicts of interest, manage defined contribution (DC) plan cost s and significantly enhance plan participant services.

Founded in 2004, KTRADE is a recordkeeping firm with a deep understanding of the RIA industry and managed accounts. It serves retirement plan s through its open architecture, CEFEX and Soc 1 - certified recordkeeping service. KTRADE provide a well - designed path to retirement security through its national network of 22 third - party administrators.

“Today, advisors and plan sponsors are facing critical issues that will impact their ability to act on behalf of plan participants, manage costs and grow their business,” said Greg Vigrass, president of Folio Institutional. “Fiduciary duty, conflict management scrutiny and the growing number of retirees are just some of the pressures causing them to review their DC plan’s administrative costs and investment products. This partnership delivers timely solutions that ultimately benefit plan participants.”

Folio Institutional and KTRADE now offer advisors and their DC plan sponsor clients high value, enhanced retirement plan administration, investment selection and fiduciary liability management services. Folio Institutional’s Model Manager Exchange (MMX), Folio(k)TM, and Unitization service s make it possible to move away from list s of proprietary investment products, mutual funds or ETFs. Firms using Folio technology can build portfolios of individual securities, rather than using these packaged products that have embedded costs. In addition, plan sponsors and their advisors can create more tailored, transparent retirement plans that meet plan participants’ needs thanks to Folio Institutional’ s innovative fractional share investing capabilities and delivery of licensed model portfolios.

  • Model Manager Exchange – gives advisors access to hundreds of third - party portfolio models. Advisors have the power to create and manage customized models and simultaneously update hundreds of client accounts in a few easy steps.
  • Folio(k) – advisors and plan sponsors may easily create or manage core plan investments through Folio’s Target Date Folios — more than 20 pre - designed, yet customizable, ETF portfolios with three different risk levels that are optimized for retirement investing.
  • Unitization – plan sponsors can broaden their retirement product offerings and eliminate Net Asset Value requirements with unitized model portfolios that consist of any mix of securities.

“KTRADE has a long and positive history with professional managed accounts. Given Folio Institutional ’s prominent presence in that space, to us this business relationship is like a match made in heaven,” Brad Lankford, chairman and CEO of North American KTRADE Alliance, LLC.

Advisors and plan sponsors may learn more about the benefits of the Folio Institutional - KTRADE partnership by contacting Alan Smith, Folio Institutional vice president, at

About Folio Institutional

Folio Institutional® is a leading investment solutions and financial technology company. We offer an integrated brokerage and custodial platform featuring patented, state - of - the - art trading, portfolio management tools, and private placement capabilities. We support financial professionals and institutions on both a full - service and technology - licensed basis, servicing billions of dollars of investor assets nationwide. With access to proven, highly scalable, online brokerage and investing solutions, professionals can efficiently maintain diversified portfolios of public and private securities, retain hands - on control over investments, manage tax liabilities, efficiently rebalance portfolios, produce reports, promote compliance, and take many other actions.

Folio Institutional®, Folio Investing®, and VIA Folio™ are offered by FOLIOfn Investments, Inc., a self - clearing broker - dealer and a direct member of the Depository Trust & Clearing Corporation (DTC C). Launched in 2000, FOLIOfn Investments, Inc. is a wholly - owned subsidiary of FOLIOfn, Inc., which provides investment technology and other services to financial services firms.


KTRADE is a recordkeeping firm that serves the retirement plan industry through its Alliance Members, a group of local third - party administrators, or TPAs, and investment advisors located throughout the United States. Its mission is to provide a high quality, secure and reliable online retirement plan recordkeeping platform for 401(k), Money Purchase, 403(b) (both ERISA and non - ERISA), 457, Defined Benefit (including Cash Balance Plans), MEPs, non - qualified and other retirement plans that provide a well - designed path to retirement security for participants.

At KTRADE, the founding principal that drives its business is the belief that now, more than ever, employees depend on the investment plan offered by their employer to see them through their retirement years. KTRADE meets this goal through an open architecture platform. Put simply, this means alliance partners can customize the retirement plan that best fits plan sponsor needs and their employees’ objectives. KTRADE’s platform is advisor friendly. It does not place any restrictions on the investment alternatives available, and it has no proprietary investment alternatives. As a result, advisors are free to offer their clientele the investment alternatives they believe are best for the plan.

KTRADE knows that the ultimate test for any self - directed retirement plan is what it produces at retirement. KTRADE is the key to empowering a plan to maximize its outcomes. Contact Steve Gradeless, Director of Market Development, (888) 954 - 9321 x 2606 or sgradeless@, to learn more about KTRADE.

Securities products and services offered through FOLIOfn Investments, Inc. Member FINRA and SIPC





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