Virginia RIA Offers ETF-Based 401(k) Platform

September 21, 2006 ( - Two Rivers Capital Management, a Williamsburg, Virginia registered investment adviser, has unveiled an exchange traded fund-based 401(k) platform.

A Two Rivers news release said the new platform includes six index funds and the Two Rivers Managed Equity Fund. All seven are available in the form of collective trusts through AST Trust Co., Phoenix, Arizona and trade just like mutual funds. A Stable Value Fund rounds out the offering.

The news release said the platform is designed to provide participants with investment options that generate, at minimum, close to market returns and to provide an actively managed option – the Two Rivers Managed Equity Fund – with a stated objective of outperforming the S&P 500 over any three-year period.   

Available on the platform, according to Two Rivers, are:

  • Stable Value Fund (mutual fund)
  • Short-Term Bond Index (ETF Collective Trust)
  • Investment Grade Bond Index (ETF Collective Trust)
  • Two Rivers Managed Equity Fund (ETF Collective Trust)
  • US Large Cap Index (ETF Collective Trust)
  • US Mid Cap Index (ETF Collective Trust)
  • US Small Cap Index (ETF Collective Trust)
  • International Equity Index (ETF Collective Trust)

In the Two Rivers Managed Equity Fund, equity fund selection is, in effect, done for plan participants within a single 401(k) option. The managed option encompasses a diversified, quantitatively-driven strategy that focuses on styles, sectors, countries, broad US & international indices, and cash.

More information is at or by calling (952) 921-5815.