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SEC File No. 801-56332
March 30, 2017
Page 3 of 13
Table of Contents
COVER PAGE ...........................................................................................................................................................1 ITEM 2- MATERIAL CHANGES ........................................................................................................................2 ITEM 3- TABLE OF CONTENTS........................................................................................................................3 ITEM 4- ADVISORY BUSINESS ........................................................................................................................4 I NTRODUCTION .................................................................................................................................4 R ETIREMENT P LAN S ERVICES ..........................................................................................................4 I NSTITUTIONAL I NVESTMENT M ANAGEMENT ..................................................................................5 CBIZ M ANAGED S OLUTIONS ...........................................................................................................5 ITEM 5- FEES AND COMPENSATION .............................................................................................................6 R ETIREMENT P LAN S ERVICES F EES ...............................................................................................6 I NSTITUTIONAL I NVESTMENT M ANAGEMENT ..................................................................................6 CBIZ M ANAGED S OLUTIONS F EES ..................................................................................................7 A DDITIONAL I NFORMATION R EGARDING F EES & C OMPENSATION .................................................7 ITEM 6- PERFORMANCE-BASED FEES AND SIDE-BY-SIDE MANAGEMENT........................................8 ITEM 7- TYPES OF CLIENTS ...........................................................................................................................8 ITEM 8- METHODS OF ANALYSIS, INVESTMENT STRATEGIES AND RISK OF LOSS ...................8 ITEM 9- DISCIPLINARY INFORMATION .....................................................................................................9 ITEM 10- OTHER FINANCIAL INDUSTRY ACTIVITIES AND AFFILIATIONS .....................................9 ITEM 11- CODE OF ETHICS, PARTICIPATION OR INTEREST IN CLIENT TRANSACTIONS AND PERSONAL TRADING...........................................................................................................10 ITEM 12- BROKERAGE PRACTICES................................................................................................................11 ITEM 13- REVIEW OF ACCOUNTS ..................................................................................................................11 ITEM 14- CLIENT REFERRALS AND OTHER COMPENSATION ................................................................12 ITEM 15- CUSTODY............................................................................................................................................12 ITEM 16- INVESTMENT DISCRETION ............................................................................................................12 ITEM 17- VOTING CLIENT SECURITIES ........................................................................................................13 ITEM 18- FINANCIAL INFORMATION ............................................................................................................13ITEM 3- TABLE OF CONTENTS
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