Qualified Plan Services


The Employee Retirement Income Act (ERISA) applies to all individual fiduciaries that exercise discretionary control over qualified retirement plans. Many plan administrators, sponsors and trustees don’t realize that they are also personally liable for plan noncompliance. We understand this highly complex area and work with our clients to provide guidance and support to create the necessary processes and procedures essential to minimizing fiduciary risk and personal liability.  We believe our investment approach provides you with the latest in Advisor-Managed portfolio strategies, access to institutional Investments, fiduciary liability protection, fee transparency and effective participant education.

Our services focus on the plan level investment offerings and participant education.

Our investment services include:

  • Investment Policy Statement (IPS)
  • Investment screening and selection
  • Investment performance monitoring
  • Investment expense monitoring and analysis
  • Annual plan review

Our education process includes:

  • Assistance with 401(c) compliance
  • Participant enrollment meetings
  • Participant asset allocation
  • Ongoing participant education and questions

In partnership with Kassouf Plan Services, LLC, our third-party administrative affiliate, we offer a comprehensive solution for our clients.  Kassouf Plan Services offers daily participant recordkeeping, plan administration, compliance testing, government reporting and annual expense disclosures.  This partnership provides the plan sponsor with fewer administrative burdens and a greater confidence in regulatory compliance by the plan sponsor.