Our Commitment to Excellence

  1. Compliance
    • We serve as 3(21) co-fiduciaries or 3(38) Investment Managers with the plan sponsor.
    • We follow a specific process as fiduciaries supplying the following to our clients:
      • i. Quarterly Screening and Monitoring Reports of all of the funds
      • Quarterly Meeting Minutes
      • i. Quarterly Screening and Monitoring Reports of all of the funds
      • A 404 c memo annualy to be distributed to your employees
  2. Education/Service
    • We conduct Employee Meetings
    • Pro-active as opposed to a re-active approach (when there are changes in the industry that may affect the plan or plan participants, we will work to provide that information)
    • We want to deliver a high level of service built on credibility and transparency
      • The platform we are using will offer a website that can serve as a tool to assist employees
  3. Affordable Investment options, transparent platform, and technology support
    • We will provide transparency with our fees
      • Fees of Funds
      • Fees of Recordkeeping
      • Fees of the advisor
    • We will provide employees access to an open architecture investment platform (Employees will have access to a ticker symbol that they can access on Morningstar)
    • We will work to benchmark plan offerings, and fees every 2-3 years