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401(k) Retirement Plan Check list

The 401(k) Solution


·        Fee-only, independent Registered Investment Advisors that serve as both ERISA 3(21) and 3(38) advisors, taking some liability off of the plan sponsor.


·        Expert, one-on-one advice to plan participants.


·        Access to institutional investment vehicles that are not available on retail 401(k) platforms and normally require a minimum investment of $2 million per fund.


·        Advisor Managed Portfolios that give participants the ability to turn the management of their 401(k) assets over to expert advisors.


·        Independent providers who are free from conflicts of interest normally found in 401(k) plans.


·        No hidden fees or fee-sharing arrangements, giving you full transparency of all plan costs.



Get an independent ERISA Fiduciary to review your plan


An independent reviewer may see something that has been overlooked by others, which could save you and your employees’ years of additional work and thousands in lost retirement savings.



5 Core Principles of an independent ERISA Fiduciary


·        Put the client’s best interests first.

·        Act with prudence, that is, with the skill, care, diligence and good judgment of a professional.

·        Do not mislead clients – provide full and fair disclosure of all-important facts.

·        Avoid conflicts of interest.

·        Fully disclose and fairly manage, in the client’s favor, unavoidable conflicts.


Expect your Retirement Plan to deliver what has been Promised


Upvote (3)
Comment   |  8 years ago from Lititz, PA