401(k) Management Services
Simple Transition Process: Find out if changing your adviser should also include changing recordkeepers and TPAs. It’s not always necessary to change all your service providers to get better 401(k) service. We can help you evaluate what partner options are going to be best for your business, and if a transition is needed, we can make it as simple as possible.
401(k) Compliance: You’ll be able to rely on us to:
- Gather audit file documentation;
- help review plan compliance testing results and opportunities for improvement
- Stay ahead of important deadlines (like for Form 5500);
- And even take care of a lot of the work for you so that your plan stays on track and healthy.
Plus, you’ll get full 3(38) fiduciary protection for your business. By hiring a 3(38) Investment Manager, you’re delegating to us your fiduciary responsibility to choose, manage and update your 401(k) fund lineup. And you can rest assured we’ll make decisions that are in the best interest of your participants.
401(k) Plan Professionals
Dedicated Retirement Counselor: Your company will work with a dedicated Retirement Counselor, which is a unique role in the industry focused only on helping small businesses get the most out of their 401(k). Retirement Counselors are not sales people; they provide administrative support and regular plan reviews, coordinate with other 401(k) service providers and help keep your plan on track for any government deadlines.
Proactive Employee Services: Our dedicated support team consists of 401(k) professionals who provide investment guidance and education, one-on-one meetings, proactive enrollment calls, 401(k) loan processing and more. You and your employees will receive financial education and investment guidance in order to be setup on a path to retirement.
401(k) Focus
Small and Mid-Size Business 401(k) Specialization: Our services are not broker-sold, and our only business is retirement plans. Our client-first approach helps us deliver specialized services for businesses. We do not try to upsell unnecessary products or services. We’re focused on helping your business set up a retirement plan that meets your goals and helps you and your employees save for retirement.
Customized 401(k) Investment Solutions: We are an institutional money manager, directly managing funds, and fund lineups. Our investment strategy is led by our Investment Policy Committee and internal research department, and we are constantly assessing market shifts and their potential impact on our clients’ portfolios. Our investment solutions span several categories, including the funds included in your retirement plan’s offering, the best investment options for different types of investors, and investment education and guidance for employees.
