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RETIREMENT PLAN SERVICES
401k & Defined Benefit Plans

Initial Plan Evaluation and Optimization


  • Discuss current plan needs and objectives
  • Evaluate current plan performance against documented plan objectives to identify potential gaps and/or opportunities
  • Review and evaluate current plan design
  • Provide information, analysis, and education related to expense benchmarking and regulatory requirements
  • Oversee all activities related to optimizing plan performance
  • As applicable, objectively assist in future provider search and selection process

Investment Due Diligence


  • Provide the plan with a sample Investment Policy Statement for reference
  • Perform a due diligence review to evaluate the plan’s investment lineup, and the reasonableness of related fees and expenses, at least annually
  • Educate plan sponsor and participants about plan investment options, including benchmarking, expenses and historical performance information

Ongoing Plan Wellness


  • Provide timely and pertinent legislative and regulatory updates that may impact the plan, as appropriate
  • Conduct a comprehensive plan review at least annually
  • Evaluate plan performance metrics against documented plan objectives and adjust strategy if/as appropriate

Retirement Readiness/Employee Education


  • Help develop measurable annual employee education goals and objectives in partnership with plan sponsor
  • Provide general investment education from employees in group and/or individual meetings
  • Provide financial planning education and/or services to employees in group and/or individual meetings if/as requested
  • Explain all fees and expenses, what they pay for, where to find them and how to interpret them
  • Coordinate ongoing in-person employee enrollment meetings, targeted educational programs, and print/online educational campaigns in support of plan objectives

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