The ASC / Schwab RT Daily Val Alliance

Providing you with the best Daily Trading, Compliance Testing and More!
ASC and Schwab Retirement Technologies: Your Winning Combination

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The ASC / Schwab Retirement Technologies (Schwab RT) Daily Valuation Alliance offers you industry leading Open Architecture Daily Trading/Recordkeeping, Compliance Testing and more.

ASC and Schwab RT teamed-up 15+ years ago to offer TPAs the best in Daily Valuation, Compliance Testing and more. Schwab RT offers a state-of-the-art daily valuation recordkeeping system, along with robust plan and participant websites (including API options). ASC provides Schwab RT’s Daily Val recordkeeping clients with access to ASC’s robust, top-of-the-line Compliance System.

Schwab RT data (via a preprogrammed “MML” link) is transferred to ASC’s Compliance Testing System, where ASC performs testing and the results are automatically sent back to Schwab RT. ASC’s Compliance System users can also take advantage of this alliance and share data with Schwab’s powerful Daily Val System.

The ASC/Schwab RT Experience Factor

ASC/Schwab RT are in the unique position to service a large range of clients from the start-up to the largest firms in the industry. This is largely because ASC’s Sales and Support & Training team members average 20 years of industry and ASC experience. And Schwab RT has over 35 years of experience. Both ASC and Schwab RT are industry leaders with product innovation and outstanding client service.

Streamlined and efficient data sharing between ASC and Schwab RT is fast and minimizes the risks of duplicate data entry errors.

  • Schwab RT Daily Trading: provides open architecture, flexibility, and various trading platforms
  • ASC’s highly recognized Compliance Testing accommodates virtually all plans, from the simplest to the most complex
  • Schwab Compliance Management Automation (CMA) Dashboard: manage a block of compliance projects while enabling collaboration with your plan sponsors during the compliance testing process
  • You can choose to host ASC in-house or on SRT’s ASP (Application Service Provider). Both hosting options provide integration between Schwab RT and ASC Compliance Testing.
  • Data Integration with ASC’s DGEM Plan Docs and 5500 Systems is available to Schwab RT Daily Val Clients.
  • ASC’s Plan Documents, housed on DGEM (Document Generation & Management System) are drafted by ASC’s in house ERISA experts, led by industry renown John Griffin, J.D., LL.M.

Advantages of using ASC’s Compliance System

  • Schwab RT hosts ASC Compliance on their network (includes all hardware and software maintenance and upgrades)
  • No “ASC” upfront initial license fee for the TPA
  • Pre-programmed “MML” link to import data captured in Schwab RT into ASC’s industry leading Compliance Testing System
  • Streamlined billing – Schwab RT will include ASC Compliance in their billing process
  • Interfaces with any recordkeeping system
  • Interactive or high-volume batch processing
  • Performs required tests on multiple plans with user-specified aggregation or disaggregation
  • Non-Daily DC Schwab RT plans can also be processed in ASC’s Compliance Testing System

….and much more.

Advantages of using Schwab RT’s Recordkeeping Technology Solutions

  • True open architecture and flexibility
  • Workflow automation which streamlines the operations within your business
  • End-to-end recordkeeping and trust processes that minimize risk and increase operational efficiencies
  • Web interfaces for plan participants, sponsors, and advisors, where you can customize and reinforce your brand
  • Customizable mobile apps for plan participants to access their information
  • Automation capabilities that track and automatically generate regulatory fee disclosures, generate change notices when investments or fees change, and provide customizable content for each plan
  • Compliance Testing Corrective actions can be imported back into Schwab RT for processing

Who can benefit from ASC/Schwab RT’s seamless integration?

Recordkeepers & Administrators: Receive custom administration and automation for many labor-intensive, repetitive tasks, saving time, conserving resources, allowing you to devote more time to growing your business. Offers select 3rd party services at reduced cost.

Plan Sponsors & Financial advisors: Receive robust options for analyzing the wellness of your plans, accessing published reports & automation dashboards, fulfilling participant fee disclosure requirements, and outsourcing the printing and mailing of participant statements. Provides financial advisors with enhanced reporting capabilities.

Plan Participants: Receive individualized retirement saving strategies, automatic deferral increases options, mobile phone apps, automatic email notifications and other special features.

Download our brochure for all the details and take advantage of ASC and Schwab’s 40+ years of experience!

Contact us today to learn more or sign up: or (800) 950-2082 x1.