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Our Solutions

Fiduciary, Governance & Compliance Support

Meet fiduciary obligations with clear guidance and steady oversight, without extra complexity.
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What We Deliver

A documented, repeatable framework that keeps plans compliant and committees confident.
(k)lean Analysis™ annual review covering plan operations, plan design, and compliance
Confirm payroll deposit timeliness, document the process, and correct issues
Help clients understand plan provisions and keep eligibility, enrollment, and notices aligned with plan terms
Conduct quarterly investment reviews under the IPS, monitoring all plan funds and documenting decisions
Deliver minutes promptly via DocuSign and store them in the Fiduciary Briefcase
Help clients automate enrollment, notices, and payroll feeds to simplify administration
Provide monthly fiduciary training through short education videos
Use a Committee Charter and IPS to delegate duties, set guardrails, and follow watch-list rules
Oversee required notices and testing, ensure revenue-sharing neutrality, and keep security policies on file

How We Work With Your Committee

We conduct quarterly investment reviews for every client, adapting the format to fit your committee’s preferences, whether that’s an in-person meeting, virtual call, or written report. Each review keeps decisions documented, issues addressed, and your audit trail organized.
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Why It Matters
Clear governance lowers risk, reduces administrative strain, and helps participants benefit from a plan that runs the way it should.

NAPA Top DC Advisor Teams

The NAPA Top DC Advisor Teams list issued on March 18, 2025 for the 2025 year highlights retirement plan advisor firms that are in a single physical location, and have at least $100 million in DC assets under advisement.  The list is based on self-reported assets under advisement as of December 3, 2024. 433 teams were selected. No fee was paid for the nomination, receipt, or promotion of the award.  Third-party ratings are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation. 

NAPA Top Women of Excellence- MVP

NAPA Top Women of Excellence – MVP award issued by National Association of Plan Advisors (NAPA) on October 20, 2025 for the 2025 Year was awarded to non-producing (possibly) licensed relationship managers primarily focused on managing relationships and the retention of clients.  The financial professional applied for the recognition.  Criteria used to determine the winner(s) includes information provided on a series of quantitative and qualitative questions on their experience and practice, as well as accomplishments, contributions to the industry, state of workplace retirement plans and the ways in which they give back.  Numerous people were considered for this honor and 110 were selected in the MVP category.  No fee was paid for the nomination, receipt, or promotion of the award.  Third-party ratings are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation. 

PLANADVISER Top Retirement Plan Advisers

The PLANADVISER Top Retirement Plan Advisers listing issued on March 21, 2025 for the 2025 year recognizes the top retirement plan advisers in the industry based on quantitative measures. Criteria to be listed requires advisers to have a minimum requirement of 50 plan clients or retirement plan assets under advisement of $400 million or more. Numerous people were considered for this honor and 267 were selected. No fee was paid for the nomination, receipt, or promotion of the award.  Third-party ratings are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.