Corporate & Institutional Services, LLC

Corporate & Institutional Services, LLC provides advisory services primarily to qualified retirement plans and plan sponsors, including 401(k), 403(b), pension, profit‑sharing, cash balance, and deferred compensation plans. The firm acts most commonly as a limited‑scope ERISA 3(21) fiduciary, assisting with the development of investment policy statements, selection and monitoring of plan investment options, participant education, and preparation of periodic investment reports.

CIS bases its advice on the plan sponsor’s stated objectives and employs a mix of analytical approaches — including fundamental, technical, charting, and cyclical analysis — to evaluate asset classes and investment options and to inform quarterly reviews and recommendations. The firm does not manage or custody individual client securities on a discretionary basis; plan sponsors retain final decision authority and assets remain with third‑party custodians or recordkeepers.

Notable differences from many independent, solo advisers include a clear focus on pension/ERISA consulting rather than individual portfolio management and an affiliation with a FINRA‑registered broker‑dealer through the firm’s principal, which the brochure discloses may give rise to outside compensation and related conflicts that the firm says it mitigates through disclosures, a Code of Ethics, and written procedures. The firm also explicitly excludes certain asset types (for example, employer securities, real estate other than public REITs, participant loans, and other non‑public or illiquid investments) from the services it provides to plans.