Broker Check

Employer Sponsored Retirement Plan Services

Corporate officers, plan trustees, and other key members of businesses face more responsibility and scrutiny today than ever before. The added burden of making sure company retirement plans are designed and monitored is of utmost importance. 

As an independent retirement and consulting practice, our priority is serving the interests of our clients. This independence allows us to provide you with the best investment vehicles, best research, analysis and complete fiduciary review to satisfy your company's defined contribution, executive deferred compensation plan. and defined benefit plan needs.

Third Party Administration

  • Qualified Plan Design
  • Plan Document Preparation and Amendments
  • Participant Deferral and Investment Elections
  • Participant Notices 
  • Nondiscrimination Test Results
  • Census Data Gathering
  • Form 5500 Filing, Including Attachments
  • Plan Account and Financial Statements
  • Record-keeping and Valuation Reports
  • Participant Distribution Forms 
  • Tax Forms

Fiduciary Services
Registered Investment Advisor
Plan Co-Fiduciary
Participant Investment Advice
3{21) Fiduciary Advisory Services
Fiduciary Audit and Review
Committee Meeting & Minutes reports

Service Provider Search
Selection Criteria
401K Scope Review
Provider Analysis
Due Diligence Process
Investment Analysis
Cost Comparison
Executive Summary

Investment Due Diligence
RPAG The Scorecard System
Fiduciary Analytics Fund Review
Specific Recommendations
Executive Summary

Investment Policy Statement
Initial design
Annual Review

404(c) Policy Program
Checklist
Annual Evaluation

Plan Management
Plan Design Review
Plan Contract Review
Service Provider Evaluation
Negotiation with Service Providers
Employer Newsletter

Annual Plan Review
Plan Benchmarking Process
Service Provider Evaluation
401k Proposal
Provider Analysis
Cost Comparison
Executive Summary

Employee Education and Communications
Enrollment Programs
Education Programs
Web Based Enrollments
Participant Fee Disclosure Statement
Targeted Employee Communications

Investment Advice
Portfolio Management
Asset Allocation Strategies
Individual Retirement Planning

DOL Audit Assistance

Non-Qualified Deferred
Compensation Programs
Executive Retirement Benefits
Rabbi Trusts
Executive Bonus Section 162
Section 79

For a list of retirement plan options for your business, click here.