Retirement Plan Consultation & Fees

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Complimentary Consultation
It is an honor to be considered as a potential service partner as an ERISA 3(21) fiduciary for your qualified retirement plan. Our consultation can help you fulfill your compliance responsibilities, while identifying opportunities to meet your goals. We offer the following services to begin demonstrating our value in the retirement plan space.

  • Plan Design - Determine if your current plan design and services are achieving your goals, and potentially offer alternatives.

  • Fiduciary Insights - Provide guidance and resources to meet your fiduciary duty under ERISA, and how to mitigate risk to reduce the potential liability of your plan fiduciaries.

  • Fee Analysis - Help you meet your fiduciary obligation to understand your plan’s fees. Interpret your 408(b)(2) & 404(a)(5) fee disclosures to determine component plan fees for each service provider, and provide you a total cost analysis.

  • Investment Review - Identify the cost, performance and diversification of your plan’s investment menu. Evaluate your plan’s Investment Policy Statement (IPS), and 404(c) compliance. Consider how your fund menu options interface with participant behavior.

  • Plan Benchmarking - Learn how your plan’s investment returns, participation and contribution rates compare with similar plans. Examine options to better achieve plan goals. Ultimately, empower you and your employees, to focus on what matters most.

Size of Plans We Serve
Our primary objective is to support both plan sponsors and participants to achieve desired outcomes. Highly credentialed, and fiduciary quality advice should not be limited to the large plan arena. Thus, we are pleased to serve the startup, micro and small plan market, with the intention of growing together.

Qualified Plan Advisory Fees
We seek to deliver high quality advisory services at, or below, the fees our peers. You deserve a transparent pricing model from all of your ERISA partners. To provide simple and straightforward pricing, we use a flat fee schedule, where the fee is applied to the entire plan value. This may compare favorably to a tiered pricing structure, where the rate is blended, since the initial dollars are assessed at higher rates.

Plan Advisory Schedule                      Annual Fee   
Start Up - $1,000,000                                custom
$1,000,000 - $1,500,000                            0.50%
$1,500,000 - $2,000,000                            0.40%
$2,000,000 - $3,000,000                            0.35%
$3,000,000 - $4,000,000                            0.30%
$4,000,000 - $8,000,000                            0.25%
$8,000,000 - $20,000,000                          0.20%
$20,000,000+                                            custom

The fees schedule above is typical, but not considered a binding offer. Actual compensation may vary based on the existing platform, client needs and services provided, which are subject to change.


Distinctive Advice in the Areas of Wealth Management & Workplace Retirement Plans

Please call us at (626) 773-4244

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