Our Commitment to Excellence
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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
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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
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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