Professional Fiduciary Services

Some of the advisors currently serving 401(k) and 403(b) plans do not have the legal capacity to serve in a fiduciary role. As your professional plan fiduciary, we offer fiduciary oversight programs that seek to deliver protection and strives to ensure excellence in plan management through independent guidance and monitoring.

We can provide assistance in the following areas:

• Development of an Investment Policy Statement (IPS)
• Benchmarking of investment provider fees and expenses
• Training of investment committee members regarding duties and obligations
• Investment analytics which tie directly to the thresholds established in the IPS
• Investment committee guidance to prudently select and monitor investment options
• Selection of Qualified Default Investment Alternative (QDIA)
• Documentation process, to include corporate minutes and internal control file
• Electronic backup of ongoing plan related documentation

*Fiduciary services are provided in advisory relationships.

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