Investment Advisory

Our comprehensive advisory services begin with a needs and risk assessment to develop a foundation for a successful investment program. We use our proprietary risk evaluation process (PREP) to analyze our clients’ and Committee members’ perspectives on issues relevant to their investments, including enterprise and plan level objectives, risk factors, time horizons and employee needs and considerations.

Combining the results of our PREP with a comprehensive evaluation of existing investment holdings, we develop recommendations for menu and portfolio construction and an asset allocation that is better aligned with your goals.

We review and reconstitute your investment policy to establish the proper infrastructure and act as a compass for all investment governance, selection, monitoring, and fee-related decisions.

Capital Strategies conducts its own manager research and maintains its own proprietary database and search analytics. Our comprehensive search process includes both robust quantitative and qualitative screening to identify the managers with the optimal past performance. However, our rigorous analytic processes are geared to uncover those managers that provide clarity and consistency in their processes and in whom we have confidence that they have a sustainable advantage to generate outperformance in the future.

Defined Contribution (DC) Plan Expertise

Capital Strategies’ recommendations for the number and types of asset classes and managers offered in a plan are further customized based on your unique participant demographics, plan usage and design, and your current investment menu.

Capital Strategies offers extensive research and customized analytics to validate plan fiduciaries’ prudent selection and ongoing monitoring of Qualified Default Investment Alternatives (“QDIAs”). Our comprehensive process includes applying and documenting the eight general guidelines published in 2013 by the Department of Labor.

Defined Benefit (DB) Pension Plan Expertise

Our pension asset allocation process is grounded in proprietary research and a rigorous analytical process that allows us to create highly customized asset allocation and portfolio solutions for clients. Each step in the asset allocation and manager selection process is approached from a liability-driven perspective to help you make decisions to achieve your specific goals.

Our services include

Investment Policy Development

Portfolio and Menu Construction

Investment Research

  1. Manager and asset class research
  2. Manager evaluation and due diligence
  3. Customized DC research:
    e.g., stable value, QDIA selection
  4. Customized DB research:
    e.g., dynamic asset allocation,
    LDI strategies

Investment Change Management

Quarterly Reviews

  1. Plan and manager performance
  2. Policy compliance reporting
  3. Watch list recommendations and documentation
  4. Investment news and updates

Our Quarterly Reviews are broader in scope and focused not only on investment performance but on overall plan governance. Our reporting is specific to plan fiduciaries with content delivered in an easy-to-understand format – this way, clients can make well informed decisions and move on to other key responsibilities.