Broker Check

Retirement Plans

Is your 401-OK?

During FY 2018, almost 65% of the 401(k) plans audited by the Employee Benefits Security Administration (EBSA) resulted in monetary recovery to restore plan assets or take other corrective action.1   Many of these cases were the result of plan sponsor errors that could have been eliminated.  Plan sponsors carry personal fiduciary responsibility and liability that can be reduced by hiring an adviser.  Whether you are implementing a new plan or reviewing a legacy plan, we provide consulting services to help you fulfill your obligations across the entire spectrum of fiduciary duties. 

Plan Design 

  • Plan Design
  • Plan Diagnostic Review 
  • ERISA Guidance

Fiduciary Support

  • Plan Committee Education 
  • Best Practices Review
  • RFP guidance and management

Plan Benchmarking

  • Total Plan Cost Analysis 
  • Full Fee Disclosure 
  • Fee Benchmarking 

Investment Review

  • Investment Policy Review/ Development 
  • Investment Menu Design 
  • Investment Manager/ Mutual Fund Selection 
  • Quarterly Plan Performance Monitoring 
  • QDIA Selection 

Participant Education 

  • Education Policy Development
  • Group Education Meetings
  • Group Enrollment Support
  • One on One Employee Meetings

Financial Wellness

Customized Financial Wellness Topics Including:

  • Student Loans
  • Purchasing a car
  • Purchasing a home
  • Saving for College
  • Saving for Retirement