Investment Management Consulting

The Difference With Axia Advisory

We provide a full range of investment advisory services to clients. As an independent fiduciary for your organization, our role is rooted in the following beliefs:

Asset Allocation is the primary determinant of long-term returns and volatility of those returns
Risk control is of prime importance in an investment program
Investors should avoid risks for which they are not compensated
Economy, simplicity and reliability in an investment program enhance the likelihood of success
Investors who take a long-term perspective and can withstand the short-term volatility have an advantage
Our advice is based upon well-founded principles and is consistently applied to clients.

Our Investment Management Services range from custom investment products to the option of outsourcing for both defined contribution and defined benefit plans. We acknowledge our fiduciary status in writing with all clients and sign on in a discretionary or non-discretionary manner. Below are some details on the services we offer clients.

Investment Consulting

As a 3(21) fiduciary, our firm provides a process to selecting and monitoring investments. The design of a plan’s investment structure is an important responsibility and is done in coordination with the creation of an Investment Policy Statement. Once implemented, Axia Advisory fulfills its duty by monitoring the investment policy and providing due diligence, quarterly reviews, and investment education to enhance each Plan Fiduciary’s understanding of the investments.

Discretionary Investment Management

For plan sponsors and fiduciaries that would prefer to handoff the investment responsibility, we are able to act as a 3(38) Investment Manager. This allows plan sponsors to delegate investment decisions while still being up to date through quarterly due diligence reviews. Outsourcing the investment decision-making process can allow plan sponsors to focus more energy on other aspects of managing the retirement plan.

While designating an ERISA 3(38) Investment Manager to accept fiduciary responsibility is an option, it does not remove the responsibilities plan fiduciaries have for appointing the manager to carry out those duties.

Custom Investment Products & Target-Date Strategies

Axia Advisory has been creating custom investment strategies for plan sponsor clients since 1992. We currently manage over $200 million in custom investment strategies. These range from risk-based portfolios to a real asset strategy.

For our custom target-date strategies, we work closely with our clients to develop glide paths and allocations that take into consideration their particular demographics, benefits, and compensation philosophy. We then manage the portfolios based on a custom benchmark. Custom target-date funds provide more flexibility than off-the-shelf solutions, because of their ability to invest in a myriad of asset classes as well as the ability to use institutionally priced investment products and best-in-class managers.