Professional Credentials

Retirement planning and investment management are complex endeavors that require the highest levels of knowledge and training to help individuals and organizations achieve their investment goals. To effectively serve our clients, the Alpha & Omega team holds some of the highest and most respected professional designations and certifications in the industry.

RIA

Registered Investment Advisor

The RIA designation signifies the advisor is registered with the U.S. Securities and Exchange Commission, and has the training and expertise to manage the investments of others. RIAs are required to act in a fiduciary capacity on behalf of their clients, with a higher standard of disclosure and due care than would be found in a traditional securities brokerage environment. At A&O, RIAs are compensated on a fee-only basis rather than on commissions.

APA

Accredited Pensions Administrator

APAs must successfully complete four rigorous exams, administered by the National Institute of Pension Administration (NIPA), covering all aspects of plan administration. APAs maintained their designation by completing 15 hours of continuing education and current NIPA membership each year.

APR

Accredited Pensions Representative

The APR designation indicates the successful completion of two exams (admistered by the National Institute of Pension Administration) covering the fundamentals of retirement plans, with an emphasis on defined contribution plans and investment philosophy. The APR also requires a FINRA Series 6, 7, 65, 66 or 24 license, or an insurance license, and is maintained by annually completing 10 hours of continuing education and current NIPA membership.

AIFA

Accredited Investment Fiduciary Analyst

The AIFA designation indicates the holder has knowledge and expertise in both prudent investment processes and assessment principles, and are certified to perform fiduciary assessments on internal policies to improve the decision-making processes of investment fiduciaries and other financial service providers.

CPFA

Certified Plan Fiduciary Advisor

Developed in response to the DOL’s increasing emphasis on fiduciary responsibility, the CPFA credential is earned by passing a comprehensive exam on the subjects of ERISA plan, investment and fiduciary management. It certifies that an individual possesses the knowledge and expertise required to act as a plan fiduciary or help plan fiduciaries manage their roles and responsibilities.

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