Roland, Criss Investment Research, LLC

The firm provides advisory and consulting services primarily to retirement plans, plan sponsors, trustees, endowments, foundations and other institutional or corporate clients. Services documented in the brochure include ERISA §3(21) non-discretionary fiduciary advice, development and monitoring of Investment Policy Statements, vendor due diligence, and group-oriented participant education and public seminars.

Its investment approach is grounded in Modern Portfolio Theory and emphasizes long-term asset-class diversification, quantitative fund selection criteria (e.g., track record, manager tenure, fund size, style consistency, and relative performance metrics) and a passive tilt where appropriate. The firm performs quarterly monitoring and issues recommendations, but it does not act as custodian or exercise trading discretion on client accounts, leaving implementation to the client or other service providers.

Notable differences from many peers include a clear focus on pension consulting and assets-under-advisement work rather than discretionary portfolio management for individual retail clients, and the provision of educational seminars offered at no charge. The firm’s principal holds retirement‑plan credentials that support its plan-focused services but also maintains a significant role at an affiliated risk‑management business, a relationship disclosed in the brochure as a potential conflict and addressed through disclosure and client choice.