Overview Retirement Plan Services

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Flexible investment selection,
proactive performance monitoring

At Schwab, we'll provide the objective guidance you need to select investments that reflect your plan's unique needs—without requirements to invest in our own proprietary funds

Objective guidance for selecting funds.

The specialists on our Retirement Investment Services team apply a rigorous screening process to thousands of funds to produce the Schwab Focus List.™ This list includes diverse funds with a history of high performance and competitive expense ratios. And since Schwab doesn't require you to place a certain percentage of plan assets in proprietary funds, you can be confident that the guidance you receive is in the best interest of your plan— and your participants.¹

Automated fund monitoring.

Our online Investment Policy Statement (IPS) Toolkit allows you to establish your plan's fund performance criteria. Our systems will automatically monitor the performance of all your funds against your criteria. Each month, our fund monitoring report will give you:

• Up-to-date performance data for every fund
• A watch list that includes funds whose performance is at risk of falling below your minimum performance criteria

Proactive support.

Should any of your funds fall outside your plan's acceptable performance range, a warning notice will automatically be emailed to you, and your Schwab Representative will contact you to discuss starting the process of replacing the fund. When you do need to make changes, our systems can accommodate them easily.

You and your investment committee will have access to a monthly Due Diligence Investment Report, so you can stay on top of every aspect of your plan's performance and make decisions based on objective, detailed feedback. The report includes:

• Fund Monitoring Report
• Asset Allocation Analysis
• Economic Overview
• Updated Schwab Focus List™

For more detailed information see our section on Schwab's Retirement Investment Services.

Schwab Retirement Solutions™ help you meet the diverse needs of your employees.

Each of your employees is an individual with unique investment needs. While one investor may actively select and manage their retirement holdings, another may prefer to have professional management of the funds in their account. Schwab Retirement Solutions give employees the choice and flexibility to select investments that best fit their retirement goals. For more information see our section on Schwab Retirement Solutions™.

Past performance is no indication of future results. Investment value will fluctuate and shares, when redeemed, may be worth more or less than original cost.

1. While Schwab requests that plan sponsors who select a money market or stable value fund, there are no other proprietary asset or fund minimum requirements.