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Our Services

Investment Advisory Service through LPL Financial

  • Incorporate documented process to select, monitor and replace investment options
  • Quarterly or Semi-Annual investment reporting comparisons 
  • 11 point quantitative screening process with peer comparison approach
  • Quarterly or Semi-Annual Market Commentary
  • Ability to act as 3(21) Investment Consultant Co-Fiduciary, thereby shifting Investment Advisory liability from sponsor to advisor and LPL Financial

Fiduciary Governance Assistance

  • Identify and educate Fiduciaries
  • Define and allocate responsibilities
  • Written “Statement of Service” outlining which services will be delivered along with frequency
  • Where applicable, will provide “Retirement Plan Consulting Program” agreement which provides acknowledgement that LPL Financial and advisor are acting as Co-Fiduciaries
  • Help create and monitor investment policy statement (optional)
  • Track and benchmark plan and investments expenses


Vendor Search

  • Fee Negotiations
  • Problem resolution


Participant Education

  • Incorporate ongoing group and individual meetings
  • Define expectations for “success measures”


Plan Design Assistance

  • Incorporate new Safe Harbors (Auto Enrollment, Auto Increase, QDIA) to assist with participant chances of retiring with adequate retirement income
  • Utilize advanced plan design features to allow key employees/owners to maximize tax benefit
  • Review plan design for efficiency and compatibility to company culture