Plan Fiduciary Services

A Customized Approach to Retirement Plan Services

Whether you need a complete plan design, implementation and fiduciary monitoring of your 401(k) or 403(b) retirement plan, or need a particular service from our professionals; we can help create a customized solution to meet your employee and business financial goals and objectives.

• Education and Training – Plan Sponsor and Retirement Plan Committee Fiduciary Education to   ensure all parties understand and acknowledge their basic fiduciary responsibilities under ERISA

• Retirement Plan Fiduciary Assessments – Assists plan sponsor in reviewing current practices to   determine if fiduciary shortfalls exist and recommendations for improving compliance

• Vendor Search and Selection – Request and compare proposals received to determine best fit for   your employer sponsored retirement plan

• Open Architecture Trading Platform and Professionally Managed Portfolios – Access to world   class mutual funds in each investment category for a true open architecture and revenue neutral   investment trading platform with managed model portfolios

• Prudent Investment Practices – As a registered fee investment advisor and fiduciary as defined   by ERISA, we assist the plan sponsor in developing or maintaining the plan’s Investment Policy   Statement to provide a documented due diligence process to select, monitor, remove and replace   under performing funds in the platform as required by plan sponsors under ERISA

• Discretionary Trustee Services – Research, select and independently monitor a discretionary   trustee who assumes full fiduciary responsibility from the plan sponsor for selection and prudent   management of investments offered with the plan

• Full and Transparent Fee Disclosure – Annual review of fees according to Department of Labor   Model Fee Disclosure, including all revenue sharing payments, associated with operating the plan   to ensure fees are fair and reasonable as required by plan sponsors under ERISA