Fiduciary Assistance

We offer education to plan sponsor fiduciaries on a maze of complicated regulatory issues. Our process is designed to assist with prudent fiduciary practices through the effective use of investment committee training, quarterly committee meetings, and plan and provider monitoring.

Plan Fiduciaries wear many professional hats. And while they may spend the least amount of their working life on retirement plan issues, their fiduciary role possesses personal risk in the corporate arena. Inundated with primary job functions, finance and human resources executives lament their lack of time and tools to fulfill their fiduciary accountabilities, with a high level of assurance and protection. This uncertainty is the main cause of their concern towards their personal liability as a fiduciary.

To assist with this void, our Independent Retirement Consultants offer fiduciary education and services that deliver strategies in plan management through independent governance and monitoring.

Under this program, our clients have access to the following fiduciary practices: 

  1. Investment Policy Statement(IPS) assistance and monitoring
  2. In-depth due diligence, plan comparisons and fee analysis to ensure your plan's investments are:
    1. Diversified
    2. Well managed
    3. Meet stated objectives
  3. Comprehensive quarterly investment performance review and monitoring
  4. Plan committee education and guidance
  5. Assist in addressing ERISA fiduciary requirements 


Recently, Brian and Dan were again named to the Financial Times list of 401 most elite DC plan advisors in the U.S.  It is awarded to financial advisors advising at least $50 million in defined contribution (DC) plan assets where DC plans represent at least 20% of total AUM. Graded on several criteria, including growth in DC plans and assets, plan participation rates, experience and industry certifications, and compliance record.



The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2016). The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas, including DC plan assets under management, growth in DC plan business, specialization in DC plan business, and other factors. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the advisors nor their parent firms pay a fee to Financial Times in exchange for inclusion in the FT 401.


Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC.
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