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My Service Commitment

"Striving to fulfill the highest professional and ethical standards by consistently acting in our client’s best interest."

As your plan’s Financial Adviser, I am not only your advocate, but an extension of your company. I specialize in mid-market companies that need both the customization given to larger companies and the personal touch required by small firms. By working with my clients as a dedicated partner, I’ve maintained a high level of plan participation and employee satisfaction, which has led in turn to the ability of my clients to retain engaged, highly qualified employees.

My Services:

  • Participant Support
    • Onsite enrollment meetings
    • Onsite ongoing education meetings
    • Retirement income planning
    • Distribution options counseling
    • Asset allocation guidance

  • Plan Design Support
    • Plan design review
    • Consult on alternative plan designs
    • Safe harbor guidance
    • Consult on whether or not to offer automatic enrollment and/or automatic escalation feature

  • Investment Support
    • Annual plan investment review
    • Investment menu selection and monitoring services
    • Investment policy statement
    • Retirement plan committee support
    • Investment manager searches
    • Provide quarterly fund/portfolio reports

  • Plan Compliance and Fiduciary Support
    • Regulatory and legislative updates
    • Review 404(c) compliance
    • Annual plan review meeting
    • Plan fees and services benchmarking

My Focus:

  • Fiduciary review consulting
  • QDIA selection and monitoring
  • One-on-One personal financial counseling