Call one of our specialists
at 800.959.0071 or email insight@401kadvisors.com

Surprisingly, many companies do not know their fiduciary responsibilities under the law. To gain perspective, they reach out to 401k(k) Advisors for specific direction on how to guard against troublesome and costly liabilities.

Fiduciary Compliance

Surprisingly, many companies do not know their fiduciary responsibilities under the law. To gain perspective, they reach out to 401(k) Advisors for specific direction on how to guard against troublesome and costly liabilities.

We help maintain client compliance with the DOL, IRS and other regulatory bodies, and help improve investment opportunities for plan participants. As a Registered Investment Advisor, we become your co-fiduciary to the retirement plan as it relates to the selection and monitoring of investments, while providing ERISA 404(a), 404(c) and other compliance-related services to reduce your exposure.

Fiduciary Fitness

The Fiduciary Fitness Program™ is an independent compliance tool to measure the health of a retirement plan, and ability of the plan’s fiduciaries to operate in accordance with ERISA and the plan document. Our program offers powerful resources to identify potential weaknesses in your plan and remedy through education, diligence and process. The Fiduciary Fitness Program™ components include:

• Program Report Card: a fiduciary self-audit focusing on the major responsibilities and liabilities plans sponsors must manage. The report helps demonstrate the procedural prudence required under ERISA.
• Reference Manual: a reference guide with flow charts, sample checklists, notifications and disclosure calendars supporting the information to be obtained and documented in the Fiduciary Plan Review™.
• Education Presentations: multiple presentations educating fiduciaries on their responsibilities, liabilities and how to implement prudent processes managing their retirement plan.

Full-Service Value

We are privileged to serve some of the most progressive companies in America with these value-generating services:

Plan Design Analysis Compliance Checklist Investment Policy Statement Fiduciary Plan Review™

404(c) Policy Statement and Notice Custom Fee Disclosures Fiduciary File Checklist 404(a) Monitoring

Best Practices

In our company, Best Practices is more than aspirational. We practice at a high standard of performance and pass this vigilance onto clients. All documentation is password-protected online in your own virtual Fiduciary Briefcase™. This secure password-protected portal serves as your virtual filing system where you can access meeting summaries, newsletters, compliance documentation and so much more.

At a time when the regulatory environment is predicted to grow in complexity, 401(k) Advisors delivers innovative services and solutions that can bring your company peace of mind.

Contact one of our plan specialists today at 800.959.0071. Or email insight@401kadvisors.com. Protect yourself now.