401(K)
Request Plan Consultation
Use this form to provide the information needed for our 401(k) Specialists to provide an independent plan consultation.
Fiduciary Basics
This guide helps Plan Sponsors understand their responsibilities and the steps to take to manage the retirement plan.
Reports & Notices
This brochure can assist in identifying required reports, disclosure dates, and processes that are important to prudent Plan operation
Articles & Whitepapers
Articles & Whitepapers discussing relevant topics to the management of your company’s Retirement plan.
Additional Resources for Qualified Plan Fiduciaries
Document Checklist
This checklist is an excellent resource for identifying the agreements, communication materials, forms, and documents that should be readily available.
Compliance Calendar
There are many plan compliance issues that are date sensitive. Stay on task with this helpful calendar.
Annual Fiduciary Review
Review your plan at least annually to ensure you are meeting your fiduciary responsibilities. Documenting your discussions and decisions is a key part of this review.
Plan Review & Due Diligence Checklist
Use this example to create an annual checklist documenting the steps taken to satisfied Your Fiduciary Duties.
(IPS) Review
An (IPS)Investment Policy Statement is the foundation for plan investment decisions and enables plan sponsors to be more disciplined and systematic in their Investment Selection and Monitoring
Plan Provider Review
Plan fiduciaries should document services they are receiving and the fees they are paying. Use this form to identify and document the cost and services provided by each of the Plan Service Providers.
Provider Assessment
Use this Guide to help complete an annual review of the plan service providers. The goal is to ensure service providers are delivering the services they committed to for a reasonable fee.
Enrollment Checklist
The plan enrollment process must be carefully managed and monitored. Plan sponsors should ensure eligible employees receive the requisite descriptive materials in a timely manner.
Employee Education Checklist
Sponsoring a robust and ongoing qualified retirement plan education program for your employees makes good business sense, and it can provide an excellent basis for protection against potential fiduciary liability claims.
Qualified Plan Distribution Checklist
By sponsoring a qualified retirement plan, you have made a commitment to assist your workforce in building retirement security. Ensuring that terminating or retiring employees understand their plan distribution options is an important extension of that commitment