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AXIS Retirement Analytics Platform
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Data Aggregation, Compliance 408(b)(2) & 404(a)(5) and real time Benchmarking

Castle Rock Innovations

Castle Rock Innovations (“CRI”) is a technology product and consulting firm with a proven track record and years of experience delivering, maintaining, and supporting complex technology solutions for the retirement industry.

The Company has developed the AXIS Retirement Analytics PlatformTM (“AXIS”), a leading retirement analytics and compliance solution.

AXIS Retirement Analytics PlatformTM

Over the past year, numerous and complex amendments to the Employee Retirement Income Security Act (“ERISA”) have gone into effect. The technical nature of the regulations, coupled with significant penalties for non-compliance, requires stakeholders to be well-informed and equipped to develop and deploy sustainable solutions for servicing retirement plans and plan participants.  To address this market need, the Company developed AXIS, which is a fully managed hosted solution that aggregates all client and third party plan data into a single platform. This unique approach allows AXIS to go beyond being a one-off solution for reporting requirements and also provide significant value-added services to the industry on an on-going basis.

The unique advantage of AXIS is that it is centered on data aggregation technology and providing a “single source of truth” for retirement plans. This is the basis for all of the AXIS product offerings. AXIS provides the industry with an all-inclusive, flexible solution, and a cost effective technology partner that can deliver and can adapt as the industry evolves. View a demo of the platform


Additional highlights of AXIS are as follows:


  • Provide a data aggregation service that will pull together all plan data from the many disparate sources and create the “single source of truth” for plans;
  • Provide a turnkey solution for clients to meet their 408(b)(2) and 404(a)(5) reporting needs; 
  • Industry’s first “Real time Benchmark” that allows real-time plan benchmarking for clients to use for sales purposes as well as a tool to show fee reasonableness; 
  • Enhance  client  data  utilizing  Broadridge  (FundPoint)  and  Morningstar  data  for benchmarking and fee disclosure needs; 
  • Provide fee disclosure kits created by a leading ERISA attorney (Wagner Law Group) 
  • Comprehensive business intelligence tools acting on client plan Universe and AXIS plan universe; 
  • Provide historical data that can be displayed by multiple dimensions;


NIPA members receive a discount for partnering with Castle Rock Innovations to use any of the following services:

  • Data Aggregation
  • Compliance 408(b)(2) & 404(a)(5)
  • Real time Benchmarking

Send your request via e-mail to or call toll-free at 1.800.408.3814. You may also visit AXIS Retirement Analytics Platform on the web at  

View a Demo of the AXIS Retirement Analytics Platform
Watch the video below from NIPA's July 2014 B2B Partner Exchange to get a first-hand look at the inner working of the AXIS platform! Not able to see the video? Click here to download the Windows Media Video file.

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