Our
Services

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Fiduciary Oversight and Investment Governance

Maintaining prudent, transparent, and consistent oversight to reduce risk and improve outcomes for plan participants.

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Participant Education and Engagement

Providing best-in-class employee education using various modalities to ensure plan success.

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Investment Selection, Monitoring and Cost Management

Regularly reviewing performance and risk and ensuring that the associated fees are reasonable and in the best interest of participants.

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Consulting and Support

Serving as your trusted partner in navigating all the responsibilities of plan sponsorship.

Fiduciary Oversight and Investment Governance

Whether serving as a 3(21) co-fiduciary or a 3(38) discretionary fiduciary, we support clients in meeting their obligations. We help ensure that investment options meet established standards and that all fiduciary decisions are thoroughly documented and aligned with participants’ best interests.

Investment Policy Statement (IPS)

We review or create, if needed, the Investment Policy Statement (IPS), which serves as the governing document for the selection, monitoring, and replacement of plan investments. We conduct an annual review to ensure ongoing compliance with fiduciary best practices and evolving regulatory requirements.

Investment Committee Support

An investment committee is essential as it provides oversight, accountability, and expert guidance to ensure that investment decisions align with the organization’s IPS, regulatory requirements, and the best interests of plan participants. We support your Plan’s Investment Committee by:

  • Defining roles and fiduciary responsibilities
  • Planning and attending meetings
  • Providing detailed meeting minutes for compliance documentation
  • Ensuring fiduciary processes align with the Plan’s Investment Policy Statement (IPS)

Ongoing Compliance Support

The highly regulated and ever-evolving retirement plan industry requires all stakeholders to stay current with regulatory changes. We help by providing:
  • Insight on ERISA, DOL, and IRS regulations
  • Assistance in maintaining operational compliance with plan documents
  • Coordination with recordkeepers, administrators, and legal counsel for required testing (e.g., ADP/ACP, top-heavy, nondiscrimination)
  • Recommendations and action steps following regulatory or legislative updates (e.g., SECURE Act, CARES Act, SECURE 2.0)