North American KTrade Alliance, LLC

Firm Profile

KTRADE is a true Open Architecture record keeping service, used mainly by fee-based RIA firms and IARs of Broker/Dealers’ RIAs. We work with a number of Custodians. We are owned by the TPAs who use our service. Our Demo Accounts at ktradeonline.com are:

• Participant site: User Name – DEMOEE; Password – DEMO123
• Plan Sponsor site: User Name – DEMOPS; Password – DEMO123 Share accounting, not unit value accounting.

KEY CONTACTS
Sales: Steve Gradeless, (614) 623-3438; sgradeless@ktradeonline.com

Service: Trent Newcomb, (888) 954-9321; tnewcomb@ktradeonline.com

WEBSITE www.KTradeOnline.com

PRIMARY MARKET(S) SERVED
Micro (<$1 million), Small ($1-$10 million), Mid ($10-$100 million),

ASSET ALLOCATION FUNDS
As a true Open Architecture platform service, KTRADE’s partner custodians offer numerous asset allocation funds.

PLANS BY CHANNEL (Direct/Advisor): 0/570
Platforms used: SunGard ASP is backbone of recordkeeping platform.

ADVISOR SUPPORT SERVICES
External wholesalers focused on advisors: 1
Internal wholesalers focused on advisors: 2

Many Advisor support services are available through firms who work with KTRADE (such as DCIO wholesalers and TPIAs), as well as through our TPA Network who are aligned with KTRADE.

PARTICIPANT SUPPORT SERVICES
• Rollover services
• Call center support
• Smartphone access to participant balances.