Corporate Clients

From small business owners to physicians and other professionals in private practice, our team works with a variety of business leaders to provide the retirement resources, education and planning they need for themselves and their employees.

As independent financial advisors and entrepreneurs ourselves, we understand the challenges business owners and professionals often face. Your retirement needs don’t end with you or your family – you have a team of employees to consider.

So, we call on both our professional expertise and our personal insight as we help you develop, introduce and manage a 401(k) plan suited to the needs of your business and the people who make it successful.

As advisors who specialize in 401(k)’s, our team can assist you by:

  • Clearly defining the parameters of our relationship and establishing reasonable expectations
    Developing an overall retirement plan strategy with specific goals is critical in helping to meet your needs.
  • Evaluating and selecting service providers
    We can diagnose the particular aspects of service delivery that are most important to your situation, and recommend appropriate alternatives.
  • Performing plan-design consulting
    A review of the plan design is very important because plan-design provisions can make a big difference in whether the plan meets your needs.
  • Assisting in designing an investment policy statement (IPS)
    As a plan sponsor, you can mitigate your fiduciary liability by implementing an IPS, which outlines a detailed, prudent plan of action for the trust’s investment managers and advisors to follow.
  • Managing the implementation and transition to new providers
    This is often one of the most problematic functions, as many “fired” providers are less than eager to cooperate with new providers. Having one individual responsible for coordination typically makes the process less stressful for you.
  • Serving as the primary contact for all aspects of plan servicing
    We’ll act as the single source responsible for managing all the moving parts of your plan, and will troubleshoot as needed. You and your employees will never wonder who to call when problems or questions arise.
  • Providing ongoing plan reviews
    This includes discussing overall plan service, operation and results, participation levels, deferral percentages, loans, nondiscrimination testing, enrollment communication strategies, and all other items of importance.
  • Managing employee communication and investment education
    We’re available to your employees by phone and, periodically, in person for individual consultation. If enrollment and/or education teams from the provider are necessary due to multiple company locations, we will coordinate those efforts. We can also provide supplemental educational materials, if desired.