Our Services
401(k)
Does your company have a 401(k)?
We provide Retirement Plan Services to retirement plan sponsors and to individual participants in retirement plans, such as 401(k) plans. Our services can include, but are not limited to:
Investment Policy Statement Preparation
The Investment Policy Statement establishes the investment policies and objectives for the Plan. Clients have the ultimate responsibility and authority to establish such policies and objectives and to adopt and amend the Investment Policy Statement.
Non-Discretionary Investment Advice
We provide non-discretionary investment advice regarding assets classes and investment options, consistent with the Plan’s Investment Policy Statement that we help develop and implement.
Individualized Participant Advice
Upon request, we provide one-on-one advice to 401(k) participants regarding their individual situations. As part of this service, we enter into a separate Investment Advisory Agreement directly with the participant prior to the participant receiving this service, but do not charge an additional fee for doing so.
Fiduciary Investment Monitoring
We will assist in monitoring investment options by preparing periodic reports that document investment performance, consistency of fund management, and conformation to the guidelines set forth in the investment policy statement. We will also make recommendations to maintain or remove and replace investment options.
Investment Selection Services
We provide recommendations of investment options consistent with ERISA section 404(c) in an effort to ensure that fund offerings are prudent for the participants.
