confidence.reliability.Cost.

We focused our efforts within our servicing platform in its ability to collect and transform data into single data repository and to provide an interface for managing, collecting and reporting plan level fees from many system sources. AXIS is the only cost effective solution in the marketplace.

Read More

Business Solutions

Compliance

Meet the 408(b)(2) DOL Mandated Fee Disclosure Requirement

Business Intelligence

Establish AXIS as the primary Broker Dealer Business Intelligence, Plan Analytics and Fee Disclosure Reporting Platform for Retirement Plan Industry

Vision and Mission: Customer Promise

AXIS is The Retirement Industries first choice for 408(b)(2) information, tools, and solutions to help Retirement Plan Fiduciaries deliver quality information more efficiently. Our customer promise is to be the preferred provider of information-enabled solutions to help professionals and manage their fiduciary processes and drive results effectively.

At Castle Rock Innovations, we excel at combining our superior information with the latest innovative technologies for use in the professional context our customers operate in. Our intelligent solutions incorporate open architecture networks, in which we play a hub role, coordinating activities and enabling communication across a customer’s workflow. We ensure that our customers have the solutions they need, when they need them, and in the media best suited to their requirements.

Solution Showcase

Fee Disclosure

We provide 408(b)(2) Fee Disclosure Solutions for Broker Dealers, RIA's, Recordkeepers and TPA's

Benchmarking

Retirement plan advisors can help clients determine the reasonableness of plan fees by utilizing AXIS' benchmarking service to objectively see where their plan falls

Key Partnerships

Through our partnership efforts with The Wagner Law Group we have built a fully integrated document disclosure process that supports 16 different disclosure scenarios.

Multi-System of records

Retirement Plan Data supported from any system of record SunGard, Schwab, Pershing, NFS, First Clearing.

Monitoring

Continuous monthly tracking of fee change events.

New Plans

Pre-sales disclosure document for new plans.

Who has to report

Broker/Dealers, Record Keepers, RIAs, TPAs, Banks and Trust companies