Broker Check

Pension Investment Review

Whether it’s a 401k or Pension, every year Plan Administrator's should evaluate their Qualified Plans. Plan expenses, investment performance and employee communications are just a few topics to review annually.  Below is our checklist to make sure you Plan is following best practices. If you would like to find out more please contact us.

 Fiduciary Checklist

Investment Council Meeting

  • IPS
  • Evaluate Investment Lineup
  • Monitor Fees and Expenses

Fee Disclosures

  • 404A-5 Plan Participant Notice
  • 408B-2 Plan Sponsored Annual Notice

Plan Effectiveness

  • Participation Rates
  • Demographic Info
  • Employee Engagement

Plan Document / Summary Plan Description / Amendment Letter

Non Discrimination Testing

Fidelity Bond

Education Meeting

Trustee Services (i.e., recordkeeping)

Fiduciary Services 3(21) versus 3(38)

Non Discrimination Testing

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