Fiduciary Support


Unburden yourself from fiduciary liability.

We know that ensuring your retirement plan is healthy and compliant with all the fiduciary rules and mandates is not easy. How many times have you wondered if you’ll ever fully understand the maze of regulations the Department of Labor wants you to follow? And then there’s ERISA…

As your advocate, we stay on top of the ever-changing fiduciary rules and regulations so that we can implement best practices to keep you in compliance.

ERISA and the Department of Labor require that plan sponsors be held to a fiduciary standard of care for their plan while acting in the best interest of plan participants and their beneficiaries. We offer fiduciary support services designed to protect you from the vulnerability of a false sense of security, bring the discipline required to fulfill your fiduciary obligations, and minimize your exposure to liability. Acting as your 3(21) or 3(38) named fiduciary under ERISA, we provide oversight and support for the following fiduciary services:

  • Review  all processes and procedures governing your plan
  • Draft your Investment Policy Statement (IPS)
  • Identify or establish your plan’s Investment Committee
  • Document all processes and maintain your Virtual 401(k) Fiduciary File
  • Provide regulatory updates and education
  • Consult regarding annual IRS compliance testing
  • Present your annual fiduciary plan review