Ubiquity Retirement + Savings

Firm Profile

WHAT UBIQUITY RETIREMENT + SAVINGS DOES
Ubiquity is 401(k) provider dedicated to the small business market. Incorporated in 1999, Ubiquity has over 7,000 customers and 1.3BB in assets. Ubiquity is headquartered in San Francisco.

WHAT DEFINES UBIQUITY RETIREMENT + SAVINGS
With products designed solely to the needs of the small business market, Ubiquity combines ease-of-use & design with a user experience to the expectations of today’s web / mobile users.

The Ubiquity product is fully bundled: recordkeeping, administration, sales, service, and enrollment. Employers and Advisors can establish a plan in 20 minutes. Ubiquity is open-architecture and investment product agnostic, offering access to thousands of mutual funds and ETS, including numerous 3(38) managers.

KEY CONTACTS
Chris Jasinski, 855 401 7253 option 3, partnershipsupport@myubiquity.com

Christie-Jo Starvish, 855 401 7253, partnershipsupport@myubiquity.com

WEBSITE
www.americantrust.com

PRIMARY MARKET(S) SERVED
Micro < $1 million Ubiquity is dedicated to the under-100 Small-Business market. We're built to make "Start-ups" easy to set-up and maintain for Advisors. # OF PLANS/PARTICIPANTS SERVED BY TYPE
As of 6/30/16
401(k): 7,000/45,000

ASSET ALLOCATION FUNDS AVAILABLE ON PLATFORM
Using Matrix as our Custodian, Ubiquity is a complete Open-Architecture provider, and offers access to tends of thousands of mutual funds and ETFs, including dozens of fund families offering Target Date Funds, as well as several 3rd Party 3(38) managers, such as Morningstar and Loring Ward

PLANS BY CHANNEL
Direct Sold: 1,000
Advisor Sold: 6,000

PLATFORMS USED
MG Trust, Charles Schwab, TD Ameritrade

ADVISOR SUPPORT SERVICES OFFERED
Compliance support, Plan benchmarking,
Target-date evaluation tools,
Training for DC plan sales/service
An Advisor “Dashboard” to help advisors identify plan and participant balances, as well as tools to offer model portfolios, at scale, across multiple plans and participants

Number of External Wholesalers Focused on Advisers – 3
Number of External Wholesalers Focused on Institutional – 2
Number of Internal Wholesalers Focused on Advisers – 2
Number of Internal Wholesalers Focused on Institutional – 2

SERVICES AVAILABLE TO PARTCIPANTS
Rollover services, Call center support, Smartphone access to participant balances, Smartphone transaction access for participants
Ubiquity offers Enrollment Webinars & Meetings, so that Advisors don’t have to.

Key Contacts

Sales 855.401.7253; sales@myubiquity.com

Service 855.401.4357; support@myubiquity.com