Broker Check

Corporate Retirement Plans


Whether you’re looking for assistance in overseeing your current plan or implementing a new one, our team offers the attention and resources to guide you through every step, helping you distinguish among the seemingly endless investment and recordkeeping options, stay current with regulations and fiduciary responsibilities, as well as educate plan participants on their options.

Having been retained by institutions of varying sizes and industries, we understand how important it is to maximize plan benefits while staying tax efficient. We utilize strategies designed to ensure your plan serves both your needs as an institution, as well as those of your employees.

Your fiduciary responsibilities are substantial, and – without additional support – your duties as a plan fiduciary can easily absorb precious time. We aim to serve as a seamless extension of your investment committee, providing the support necessary to allow you to focus on growing and advancing your business. Through every phase, we work closely with you to help ensure your retirement plan remains aligned with your preferences as an institution, always propelling you toward your corporate mission.

We have experience establishing and providing support in a variety of qualified retirement plans and non-qualified deferred compensation plans including:

  • 401(k) Plans
  • Profit Sharing Plans
  • Owner Only/One-Person 401(k) Plans
  • Age-Weighted/Comparability Profit Sharing Plans
  • Defined Benefit Pensions
  • Cash Balance Plans
  • Simplified Employee Pensions (SEPs)

Services Include

  • Benchmarking studies to evaluate plan fees and performance
  • Recordkeeping evaluation and Searches including TPA’s
  • Investment Policy Statement preparation assistance and review
  • Documentation of our Fiduciary assistance process
  • Investment manager searches and benchmarking reports
  • Asset allocation studies
  • Investment Committee Fiduciary education
  • Fee negotiation liaison for plan providers
  • Performance Reporting

Investing involves risk and you may incur a profit or loss regardless of strategy selected, including diversification and asset allocation.

This information was developed as a general guide to educate plan sponsors but is not intended as authoritative guidance or tax or legal advice.  Each plan has unique requirements, and you should consult your attorney or tax advisor for guidance on your specific situation.  In no way does advisor assure that, by using the information provided, plan sponsor will be in compliance with ERISA regulations.