Professional Services

Leverage our combined over 100 years of industry experience PLUS the insights provided by the Veriphy Ratio score and PlanView Reports to help you in your Advisor Search Initiatives and Plan Assessments.

Advisor RFP

  • Understand Goals & Objectives of the search
  • Current Plan value added
  • Due Diligence Review of Advisory Firm
    • Search for Conflicts of Interest
    • Disclosures
    • Current Status
  • Review Structure of Firm & Qualifications of Advisor
    • % of revenue and assets from retirement plan work
  • Review Scope of Services – 3(21); 3(38); 402(a)
  • Experience – Firm, people, support staff
  • Process - research capabilities and team,
  • Participant services
  • Tools and Technology used
  • Fees

Plan Assessment

Analyze

  • Is our DC plan truly adding value and creating the opportunity for retirement dignity for our employees?
  • How much value has been added over the last seven years?
  • What is the excess return provided by the funds used?
  • How much risk was taken vs. the plan’s unique benchmark?
  • Who is responsible for this?
  • What are our goals and objectives for the retirement plan?

Strategize

  • What are the total assets in our plan?
  • What asset classes are we using?
  • What are the risks associated with our plan?
  • Risk by asset class?
  • Excess return by asset class?
  • Governance structure of service providers?
  • Fiduciary role of service providers? 3(21), 3(38), 3(16)?
  • How much investment risk should the plan be taking in general?

Formalize

  • What is the strategy to optimize risk and return to accomplish our goals?

Implement

  • Strategy for implementation

Monitor

  • Have any conflicts aired?
  • Are there any investment concerns?
  • Have any service provider relationships changed?

Are there any changes to the law or regulations that we should be aware/concerned with?

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