Broker Check

Is your 401(k) retirement plan a source of stress, underperforming due to unnecessary costs and poor investment choices, or not meeting your overall goals?

Our goal is to always exceed your expectations as we serve the retirement needs of you and your employees.

Our plans not only save you time and money, but they help you and your team make informed financial decisions.

Take a look below at all of the value and services you may receive when you work with our team.

Plan Design & Vendor Oversight

The right plan design can mean the ability to set aside more for retirement and reduce your time and expense in running a plan. Choosing the right vendors can save thousands of dollars and reduce overhead.

  • Plan design consulting and testing review
  • Vendor fee and service benchmarking
  • Vendor search and executive summary
  • transition services to new vendor
  • Vendor management and issue resolution
  • Identify and implement vendor service upgrades

Governance & Compliance

Running a compliant plan takes time and experience. Let our team ensure you are doing the best to avoid a DOL audit.

  • Maintain plan in compliance with 404(c) guidelines
  • Scheduled review meetings with trustee(s)
  • Preparation of 401(k) committee meetings
  • Assist with plan audit compliance requirements
  • Prepare and update investment policy statement
  • Develop and manage investment review process
  • Assist with annual disclosure requirements

Employee Education and Communication

Your employees deserve support and access to experienced professionals. We can help.

  • Employee participation analysis
  • Education policy statement development
  • Develop and deliver ongoing education program
  • Facilitate one-to-one employee meetings
  • Enrollment and education meetings
  • Quarterly e-newsletter
  • Facilitate financial wellness program

Comprehensive Investment Support

Today’s modern 401(k)s have access to hundreds of lower cost options. We will make sure you are utilizing the best options for you and your employees.

  • Investment Policy development
  • Investment Committee meeting preparation
  • Investment menu design and monitoring
  • Fund replacements and fund manager search
  • Investment utilization review
  • In-person Investment Committee meeting
  • Comprehensive, independent plan-level reports

In your review, we will analyze the overall cost to run your plan and evaluate whether or not your costs can be reduced if they are too high.

Additionally, our plan review will look at how your plan investments are performing in today’s volatile market.

You will receive an objective third party report that can identify poor performing fund choices and offer alternatives that may increase your plan’s investment performance.

These services may satisfy your fiduciary responsibility to review costs on a regular basis and will help you to document your file in case you face an audit.


Are You Ready To Reduce Your Costs And Simplify The Management Of Your Plan?

Thank you!