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The CAPTRUST Response to the 2020 Coronavirus Outbreak

As the coronavirus (COVID-19) solidifies itself as an unprecedented event in human history, we hope that you and your family will remain safe and healthy. While our concerns extend well beyond financial matters, as your financial advisor, we want you to be well-informed about our views on the situation and what we recommend.

Direct Participant Communications


Adjustments to Meet Current Environment

  • Expanded access to virtual personal appointments with a CAPTRUST financial advisor
  • Developed backup strategies in the event prolonged service adjustments are needed
  • Rolled out a collaborative company-wide response to meet current call and appointment demands


  • Nearly all of our most critical technology operates through major cloud providers (primarily Microsoft), with large levels of redundancy across geographically isolated data centers, mitigating risk of downtime for systems we cannot operate from the cloud
  • Our entire workforce is equipped with laptops featuring fully secure connections to all systems needed to do their jobs and We test our business continuity program annually
  • We are fully compliant with our cybersecurity policies, even with a remote workforce. Protections in place in our offices—such as firewalls, web and mail filtering, data loss protection, and always-on VPN—travel with our personnel no matter where they are working
  • We are successfully receiving and processing all mail nationwide, including legal documents and client checks
  • We are fully operational with all phone systems and call centers, including fielding the critical calls to our participant Advice Desk
  • We are living our mission by helping our communities


  • Continuous monitoring of operations, gathering and analyzing COVID-19-specific policy shifts of the third-parties our clients work with, including custodians, administrators, retirement plan recordkeepers, and investment managers with focus areas including:
    • Trading capabilities
    • Processing capabilities
    • Benefit payments
    • Staffing and service levels
    • Call center operations including wait times, abandoned calls
    • Web access continuity
  • Continuous tracking of client’s third-party investment managers, including performance, manager calls, and portfolio statistics with extra focus on capital preservation options employed by clients:
    • Money market funds
    • Stable value funds (401(k) clients only)
  • Investment advisory and discretionary asset management
    • More frequent investment policy, goal, and objectives compliance monitoring
    • Review of investment manager guidelines in light of downgrade cycle
    • Liquidity management
    • Tactical changes
    • Rebalancing
    • Opportunistic changes
    • Risk mitigation
    • Glidepath monitoring
  • Monitoring government policy, legislation, and regulatory influence
    • Monitoring fiscal and monetary policy for implications to client portfolios
    • Identifying areas of risk
    • Identifying areas of opportunity
    • CARES Act—distilling the implications to retirement plans, individuals, and economic implications
  • Leveraging our extensive relationships with the asset management community to access time with top money managers, strategists, and economists who broaden our market intelligence for the benefit of all clients