The financial professional and Cadaret Grant receive commissions on securities transactions and fees from product sponsors in connection with the services provided to the plan and plan participants. In addition to the detailed disclosure being provided to the plan by the product sponsors, custodians, and record keepers, commission and total annual operating expense information is contained in the prospectus and can be accessed by clicking on the appropriate sponsor Web site link.

Letter to Financial Professionals

Method I Disclosure

Method II Disclosure

Excel Pre-formatted file

196-Mutual Fund Selling Agreements

Frequently asked questions

Click here to send an e-mail

Doug Ketterer

Chief Executive Officer and Founding Partner

The vision and influence to advance an industry. Doug is passionate about the value of personal advice. He believes that customized solutions created by one advisor, working with one client, aren’t just the core of wealth management—but the key to its future. A well-known Wall Street thought leader with over 30 years in the industry, Doug is a sought-after source of ideas that elevate the advisor-client experience. With insight gained as a long-time Morgan Stanley executive, and a clear-eyed commitment to the principles he preaches, Doug is in the right place to lead Atria, its subsidiaries—and the advisors they serve—to a better future.