Defined Contribution Plans



  • Provide non-discretionary 3(21)(a)(ii) investment advice to the Company regarding asset classes and investment alternatives available for the Plan in accordance with the Plan’s investment policies and objectives.
  • Assist the Company with the selection of a broad range of investment options consistent with ERISA section 404(c) and the regulations thereunder.
  • Assist in the development of an investment policy statement (IPS) or replacement IPS. 
  • Assist in monitoring investment options and assisting Company in making decisions to maintain, remove or replace investment options.
  • Meet with Company’s committee’s and Sub Committees to discuss reports and assist with investment recommendations.
  • Assist the Plan Sponsor with respect to the selection of a qualified default investment alternative (“QDIA”).
  • Analyze and interpret ongoing reports from the Plan’s service providers.
  • Assist with review and due diligence of manager/fund selections including Stable Value. 
  • Assist with investment fund mapping and analytical support.

Monitoring and Supporting Governance:

  • Provide support to help you monitor vendor adherence to services per proposal and related fee schedules.
  • Provide support to help you with oversight and enforcement of “At Risk Fees.”
  • Help coordinate vendor implementation of new service enhancements and deliverables.
  • Providing overall Plan project leadership.
  • Support Plan governance activities.
  • Facilitate the escalation and identification of risks to Company.
  • Support the Plan, the Committee and Institution in understanding fiduciary responsibilities by assisting in the development
    of prudent decision making and documentation processes.
  • Assist in determining whether the Plan’s current service provider arrangement is reasonable.

Plan Administration / Vendor Management:

  • Participation/coordination of preparatory calls/meetings relating to service upgrades.
  • Plan document review, comparison and preparation support.
  • Assist with communication/educational material and program design, implementation, monitoring and course correction.  
  • Assist in plan enhancement implementation support.
  • Assist with monitoring and  support of record-keeper advice offerings.

Participant Communication and Education:

  • Assist the plan committee in ascertaining whether the Plan’s employee communications concerning the Plan’s investment options are sufficient.
  • Assist in developing specialized communications for specific employee groups.
  • Assist in coordinating group enrollment meetings.
  • Support communication initiatives.
  • Assistance with advisory and participant education services.


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