Financial Professionals

Scale your business and reduce fiduciary liability

As an advisor, you already know how complex retirement plans can be. With ever changing industry regulations and best practices, along with a volatile stock market, your clients are likely demanding more of your time than ever.

We can help take the day-to-day work of servicing plans off your plate, so you can spend your time where it’s most valuable — growing your business. We can custom-fit our retirement plan services into the places that support you the best. Whether you need help in one area or a custom mix of recordkeeping, compliance, investment consulting, plan design and participant education, our team can help fill in the gaps.

Ask how we can help grow your business

Our solutions are custom-tailored to your situation. Schedule an introductory call or video chat with us and we’ll show you how we can help remove obstacles and keep your business growing faster.


  • Daily valuation of participant accounts Quarterly valuation reports
  • Quarterly statements delivered to participants via mail or electronically
  • Seamless payroll process of participant contributions and loan repayments
  • Forward participant contribution election changes back to payroll provider
  • Review and approve loans, distributions and QDROs
  • Process in-service withdrawals and distributions for terminated participants
  • Calculate and process required minimum distributions for participants age 70 1⁄2 or 72
  • Prepare Form 5500, Form 8955-SSA, and Summary Annual Report
  • Employer online access to plan level reports and participant detail


  • Prepare annual 401(k) and 401(m) nondiscrimination tests
  • Monitor 402(g) and 415 limits
  • Prepare 410(b) coverage test and top-heavy test
  • Preparation and fulfillment of required employee notices including fee disclosures, QDIA notice, and fund change notices
  • Prepare plan documents and amendments
  • Timely update of law changes and impact to your plan

Plan Design Consulting

  • Plan design consulting and recommendations Plan benchmarking
  • Review Plan Documents of incoming plan for mergers and acquisitions
  • Consulting on merger versus termination
  • Proactive consulting on transition testing and plan design comparisons and changes
  • Assistance with plan merger timeline and enrollment materials

Participant Services

  • Access to account information and plan forms online
  • Reallocate account and make changes to investment elections
  • Access to plan investment details
  • Create personalized statement on demand
  • Access to online financial wellness tools
  • Easy online enrollment process
  • Speak with retirement plan specialists familiar with your plan
  • Retirement plan specialists speak on topics such as plan provisions, investments options and distribution counseling
  • Targeted participant messaging Website app

Investment Consulting

  • Fiduciary training
  • Investment Policy development and documentation
  • Prudent Process documentation including meeting agendas, handouts, and minutes
  • Investment menu design
  • Fund selection and monitoring
  • Quarterly performance summaries
  • Annual fiduciary investment report
  • Investment default asset-allocation creation/ review/management
  • Evaluate managed accounts
  • Retirement income evaluations
  • Plan cost studies and benchmarking
  • Coordination with other service providers
  • Recordkeeping searches
  • Review of participant education program
  • ERISA 3(21) non-discretionary advisor
  • ERISA 3(38) discretionary manager

Questions? Let us help you simplify the complex!

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