OneDigital - retirement Plan Investment Management Agreement - 06.01.2026 - SIGNED

SHA-256 b394c530d51e907afe34ec4b3d82a1b15a84bee255888fdaf71488a3d82e1290 · Captured source extract
 
OneDigital Page 3  Form ADV, Part 2A 
 
Item 3 – Table of Contents 
 
Item 2 – Material Changes………………………………………………………………………2 
Item 3 – Table of Contents………………………………………………………………………3 
Item 4 – Advisory Business……………………………………………………………………...4 
Background………………………………………………………………………………..4 
Investment Advisory and Investment Management Services ……………………………..4 
Add-On Services…………………………………………………………………………..5 
Third Party Administrator (“TPA”) Services……………………………………………...5 
Item 5 – Fees and Compensation………………………………………………………………..5 
Investment Advisory Fees…………………………………………………………………5 
Item 6 – Performance Based Fee and Side-by-Side Management…………………………….7 
Item 7 – Types of Clients…………………………………………………………………………7 
Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss………………………7  
Item 9 – Disciplinary Information……………………………………………………………….9 
Item 10 – Other Financial Industry Activities and Affiliations………………………………..9 
Item 11 – Code of Ethics, Participation or Interest in Client Accounts and Personal Trading……..11  
Item 12 – Brokerage Practices………………………………………………………………….11 
Recommending Broker-Dealers………………………………………………………….11 
Research and Additional Benefits………………………………………………………..12 
OneDigital Summit Sponsorships………………………………………………………..13 
Item 13 – Review of Accounts…………………………………………………………………..13 
Item 14 – Client Referrals and Other Compensation…………………………………………14  
Item 15 – Custody……………………………………………………………………………….15 
Item 16 – Investment Discretion………………………………………………………………..15 
Item 17 – Voting Client Securities……………………………………………………………...16  
Item 18 – Financial Information………………………………………………………………..16