I have had the pleasure and opportunity to work in the retirement plan industry for 14 years. I have seen a lot of things and a lot of change, both good and bad. I have worked with hundreds of advisors over these past 14 years and I currently work as counsel for a handful of registered investment advisory (RIA) firms around the country for a flat fee. So I have seen a lot of great work by retirement plan financial advisors and some mistakes they have made over the way. So this “Code” is based on what I have seen working with financial advisors and working with plan sponsors, you may learn a thing or two in helping building your practice. This article is dedicated to the memory of Richard (“Rich”) Laurita, the best third party administration (TPA) salesman I ever worked with who probably could have written this Code in his sleep because of the way he carried himself in business in developing a network of financial advisors.