Broker Check

Employer Sponsored Retirement Plan Model

Trustee Level Services

Initial Services (for existing and/or newly created plans):


  • Costs - mark to market
  • Plan Design - consideration given to current tax laws
  • Investment Managers - actual/relative performance analysis
  • Service Providers - restrictions (breathe of offering)
  • 404c Analysis

Quarterly Services:

  • Investment Benchmarking
  • Investment Reporting

Annual Services:

  • Plan Design Analysis/Formulation with Third Party Administrator (TPA)
  • Investment Policy Statement Review
  • Fee Analysis (Record Keeper/TPA/Advisor)
  • Profit Sharing Analysis

Ongoing Services:

  • Group Participant Educational Sessions
  • One on One Participant Meeting On-Site
  • Participant and Plan Sponsor (Point of Contact)
  • Enrollment Meetings

Additional Services Available as Needed:

  • Record Keeper and Third Party Administrator Searches
  • Assistance with the development of an Investment Policy Statement
  • Educational Seminars
  • Platform Conversions
  • Investment Committee Meetings

Participant Level Services

Ongoing Services:

  • Asset Allocation Guidance
  • Savings Projections for Retirement
  • Roth vs. Pre-tax Analysis
  • Distribution Guidance