401kNerd

Educational Series

Your Bundled Provider Is a TPA Too

Understanding the Advisor-Compliance Divide

Short, candid conversations on the working relationship between advisors and TPAs, and how it shapes the plans they serve together.

Speakers: Nevin Adams, Chad Johansen, Shannon M. Edwards, Mary Patch

Three-part video series

Video 1 · 41:59

The Assumptions Advisors and TPAs Make About Each Other

In this episode, we break down five common assumptions advisors and TPAs often make about one another, and how those misunderstandings can create confusion, inefficiencies, and frustration within retirement plan relationships. We explore why these assumptions exist, where communication gaps typically occur, and how better alignment between advisors and compliance teams can lead to stronger outcomes for clients and plans.

Video 2 · 21:23

How Better Advisor-TPA Alignment Creates Better Plans

In this episode, we explore five important questions TPAs should be asking advisors to better understand their approach, expectations, and long-term vision for retirement plan clients. We discuss how stronger alignment between advisors and TPAs can improve communication, create more effective plan strategies, and ultimately lead to better outcomes for both plan sponsors and participants.

Video 3 · Coming soon

A Practical Look at What Compliance Administrators Actually Do

In this episode, we walk through an interactive checklist designed to help advisors better understand the services their compliance partners do and do not provide. We explore how greater clarity around responsibilities, processes, and expectations can reduce confusion, improve collaboration, and help build a stronger, more trusted advisor and TPA partnership.

A Practical Look at What Compliance Administrators Actually Do

Coming soon

New episode in production. Check back shortly.