Broker Check


Client Centered

Ongoing Plan Support:

  • Compliance
  • Risk Analysis
  • Comparison and recommendation of third party providers.
  • Augmentation or Modification
  • Cost Analysis
  • Current Suitability
  • Initial Selection of Investment options
  • Develop mandates for investment selection
  • Determine investment risk tolerance within the plan investment options available to participants
  • Creation of an investment policy statement
  • Ongoing Assessment of Plan Investment Options.
  • Ongoing reviews of current investments for plan suitability
  • Provide investment research, due diligence, and risk assessment of available investments within the plan.
  • Due diligence on traditional and non-traditional investments for potential use within the plan
  • Investment Structure & Operational Risk
  • Investment Compliance within the Plan
  • Provide participant education.
  • Initial and ongoing compliance support for ERISA standards.
  • Provide plan documents that comply with ERISA for the inclusion of non-traditional investments within a 401(k).