Focused on Retirement Plan Governance

We will perform our services and give advice at the highest level of ethical standards, period. These standards include:

  • We will treat our team members, clients, friends of the firm, and vendors honestly with full disclosure and proactive open communications.
  • Confidential information will remain confidential. We will report any unlawful practices to the appropriate authorities.
  • We will recommend service providers and vendors solely based on their abilities and price, and will not accept hidden commissions, kick-backs, soft-dollars, or quid pro quo.


  • Fiduciary Assessment

    What does it mean to be a plan fiduciary? We identify all individuals and entities that provide services or perform tasks related to the plan and identify each as a fiduciary or nonfiduciary in order to define roles and manage overall fiduciary risk. This insures that all fiduciary acts are undertaken solely with the interest of the plan participants and beneficiaries in mind, prudently, and in accordance with the terms of the plan document and ERISA.


  • Vendor Review and Request for Proposal(RFP)

    Selecting and monitoring vendors for your plan can be a daunting task. Our monitoring of the named fiduciary or other plan fiduciaries and non-fiduciary service providers is to ensure they have the resources to perform their responsibilities and are acting in accordance with ERISA's standards of conduct and/or the Internal Revenue Code.

     


  • Plan and Investment Committee Charters/Meetings

    Each company that sponsors a plan is different and unique. Our committee charters are customized to meet the needs of the sponsoring organization to insure effective, meaningful and engaged plan committees. 


  • Employee Communications and Education Strategies

    Are employees utilizing the plan's benefits and features or saving enough? Policies and processes established to communicate the plan effectively to participants will insure plan is on the path to success by increases in savings rates, overall plan satisfaction. Goals and metrics will be used to define and measure the effectiveness of education programs.


  • Annual Compliance Oversight/Reviews

    The process of annual oversight and review of plan compliance issues will the plan fiduciaries informed of compliance testing issues, regulatory changes impacting the plan. Compliance tests and tax forms prepared by vendors will be reviewed and cross-checked against source documents to insure accuracy.


  • Documentation Control

    Has paperwork got you buried? We provide a system of processes and policies designed to keep the plan fiduciaries informed of important plan documents and any actionable items as it relates to received documents. Also includes a plan records policy of archiving/discarding documents.

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