A Wide Spectrum of Solutions for Workplace Retirement Plans

We offer actionable governance solutions for plan sponsors.

Enabling stewardship of your retirement plans and maximizing value realized by your employees

Conflict of Interest Audit (COI)

An independent review focused on identifying and ameliorating conflict of interest services structures in employer-sponsored retirement plans.

Ongoing Plan Monitoring

Monitor plan operations and providers  to ensure adherence to contract terms and enforce provider adherence to representations about the provider plan participant service model and includes an analysis of plan distributions.

Plan Stewardship

Our plan stewardship analysis provides employers with the tools to enhance the governance of their defined contribution retirement plans.

The three key elements of plan stewardship:

Plan Management Structures: Ensure that appropriate and updated plan documentation is in place along with key policies for plan management.

Plan Health: Monitor key plan metrics, such as financial and demographic, to support employer decision-making and employee engagement. 

Identify and Document Provider Responsibilities: Ensure that provider responsibilities and employer’s “rules of the road” are memorialized and communicated to providers.

Impact Analysis 

Receive a customized plan impact analysis of conflicted service structures for an in-depth understanding of how direct and indirect compensation models impact the plan and its participants.

Actuarial Services

An array of actuarial resources to provide you the analytical tools to better serve as a plan steward–including retirement income modeling and assessing the cost to participants of conflicted plan providers.

Consulting & Special Projects

We can support a variety of vendor-management and plan governance initiatives.

Staying on top of rapidly changing developments

Overview of H.R. 2988 and Potential Implications for ERISA Fiduciaries

H.R. 2988 proposes changes to ERISA fiduciary standards affecting investment decision-making, service provider selection, proxy voting, and brokerage window disclosures.

Fiduciary Responsibilities, Proposed Legislation

The Next Wave of Fiduciary Challenges

New ERISA lawsuits signal closer review of voluntary benefit plans.

Essential Health Benefits, Fiduciary, Fiduciary Litigation, Fiduciary Responsibilities

Empower and Vanguard Penalized for Undisclosed Conflicts

Undisclosed Conflicts of Interest: Will Another $25 Million in Fines Change Anything?

Disclosure, Managed Accounts, SEC