Advisory Services
Comprehensive Support for Plan Sponsors
As your partner, I provide continuous support in investment fiduciary roles, whether under 3(21) or 3(38), coupled with strategic education to enrich the knowledge base of both sponsors and participants.
• Plan Design — Design a 401(k) plan that perfectly aligns with your company’s goals and objectives. From contribution structures and investment options to plan features, I will guide you through the decision-making process, ensuring final choices reflect the collective vision of the retirement plan committee and/or business owner.
• Compliance Guidance — Navigating the intricate regulatory landscape is crucial for plan sponsors. I provide guidance on IRS and DOL requirements, helping you navigate complex regulations and ensuring ongoing compliance to secure seamless operation of your retirement plan.
• Vendor Selection — Selecting and evaluating third-party administrators (TPAs), record-keepers, and service providers is a critical aspect of optimizing your 401(k) plan. I offer expert guidance to ensure your plan is supported by the right partners, enhancing both efficiency and performance.
• Employee Education — Empower your workforce through targeted educational sessions about the 401(k) plan, its benefits, and the art of informed investment decision-making. My educational initiatives extend beyond individual sessions, providing comprehensive guidance for both plan sponsors and participants.
• Investment Guidance — Rely on me for expert insights into investment options available within the 401(k) plan. I guide participants in making informed decisions based on individual risk tolerance and financial goals, ensuring their investment choices align with their unique circumstances.
• Fiduciary Guidance — Fulfilling fiduciary responsibilities is a complex undertaking. I support plan sponsors, helping them understand and navigate the intricacies of managing a retirement plan, ensuring compliance and optimal performance.
• Monitoring and Review — Continuously monitor the performance of your plan’s investment options. Based on market conditions and the plan’s goals, I may recommend adjustments or changes to ensure your plan remains agile and aligned with your overarching objectives.