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Our Services

For individuals, we provide wealth management and financial planning services. 

For retirement plan sponsors, we provide a thorough process to help plan sponsors evaluate, understand and implement comprehensive retirement programs:

Fiduciary Assistance 

  • Assist employer in addressing ERISA fiduciary requirements
  • Assist investment committee with creating Investment Policy Statement (IPS)
  • Monitor investment performance and replacement process
  • Participate in Investment Committee meetings
  • Conduct and deliver annual fiduciary review 

Plan Sponsor Solutions

  • Vendor analysis and fee benchmarking
  • Executive compensation plan design and implementation assistance
  • Plan analysis, design assistance, communication and implementation of:
    • Legislative updates
    • Marketplace changes

Participant Solutions

  • Employee education and communication
  • Help create plan/policy for employee retirement education and enrollment
  • Help participants stay the course
  • Help participants convert retirement savings into income at retirement

Investment Strategies

  • Comprehensive proprietary research and analysis on an expanding universe of portfolio managers and investment products
  • Complete objectivity in selecting investments and plan providers
  • Expertise with non-qualified plans, rollovers and income generation for retired participants
  • LPL’s Retirement Plan Consulting Program (RPCP)
    • Limits sponsor risk exposure under ERISA 3(21) co-fiduciary rules, as well as IRS and DOL regulations
    • Proactive compliance and legal support

Co-Fiduciary Services

  • Investment Policy Statement (IPS) assistance and monitoring
  • Ongoing investment monitoring
  • Assistance with changes in investment options
  • Performance reporting
  • Ongoing investment recommendations
  • Education services to plan committee
  • Education and enrollment programs
  • 404(c) assistance
  • Qualified Default Investment Alternative (QDIA) assistance
  • Plan search support/vendor analysis
  • E&O insurance coverage ($10 million / $50 million)