Service Commitment

How We Work

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

As your plan's advisor, we are not only your advocate, but an extension of your company. We 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 our clients as a dedicated partner, we strive to help you maintain a high level of plan participation and employee satisfaction to assist in your efforts to retain engaged, highly qualified employees.


Participant Support

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

Plan Design Support

  • Plan design review assistance
  • Educate on alternative plan designs
  • Safe harbor guidance
  • Provide guidance on whether or not to offer automatic enrollment and/or automatic escalation feature

Investment Support

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

Plan Compliance and Fiduciary Support

  • Regulatory and legislative updates
  • Assist with the borad range requrieements of 404(c) compliance
  • Annual plan review meeting
  • Plan fees and services benchmarking


  • Investment fiduciary review consulting
  • QDIA recommendations and monitoring 
  • One-on-One personal financial counseling



Common Stock

Educational IRA

Traditional IRA

Roth IRA


Simple IRA

Brokerage Accounts

Treasury Bills

Government Securities

Treasury Notes

Variable Annuity

Financial Planning

Retirement Plans

Tax Plans

401(k) Planning

403(b) Planning

College Plans

Estate Plans

Money Purchasing Plans

Profit Sharing Plans


Disability Income Insurance

Life Insurance

Long-Term-Care Insurance

For more information about our firm and the services we offer, send us a quick email or call the office. We would welcome the opportunity to speak with you. |  (651) 982-1115