facebook twitter instagram linkedin google youtube vimeo tumblr yelp rss email podcast phone blog search brokercheck brokercheck Play Pause

Compliance & Ease of Administration

We know what needs to get done. We help you get it done. And, we know what we can have your partners take off your plate.

  • We work with the Plan committee in developing knowledge of their fiduciary obligations. This includes assisting in the development and maintenance of a file that includes documentation demonstrating prudent processes are being followed pertaining to the operation of the Plan.
  • We provide ongoing support in understanding and managing fiduciary responsibilities and streamline the process for operational compliance including support for annual audits (example: Fiduciary Audit File).
  • Through plan compliance reviews we conduct and advise the Plan whether it is operating in accordance with Plan documents and applicable provisions of ERISA as it relates to specific items.
  • We assist with review of the existing Investment Policy Statement (IPS) in determining whether the Plan’s investments are consistent with the goals set forth in its IPS and assist in the identification of appropriate revisions to the IPS, and when warranted recommend possible change in IPS when goals have changed.
  • We help you understand and review the ERISA Section 408(b)(2) disclosures. We perform research and provide reports to assist the Plan in evaluating reasonableness of fees and completion of services.

Check the background of this firm/advisor on FINRA’s BrokerCheck.