Download Your Fiduciary Responsibility Checklist
Download your copy of the Fiduciary Checklist
If the file does not download automatically, click the button below to gain access to the PDF. Our team is ready and waiting to assist in your journey to minimize your fiduciary risk.
Your Personal Assets May be at Risk
As a 401(k) plan sponsor, you can be held personally liable for a breach of your fiduciary responsibilities. Reduce your risk by taking our risk assessment and by downloading our Fiduciary Responsibilities Checklist.
Is your advisor registered as a Broker Dealer, Insurance Agent, or Registered Investment Advisor?
This information can be found in your advisor’s form ADV 2
How does the company monitor the investment lineup? Does your advisor act as a 3(21) or 3(38) investment fiduciary?
This information can be found in the service agreement between your advisor and your planWhen was the last time you received a tangible benchmark from an outside provider for your fiduciary audit file? Do you have a fiduciary audit file?
This information can be found in the service agreement between your advisor and your planAre you familiar with the expense ratios on the current fund lineup? Do you know how your advisor gets paid?
This information can be found in your advisor’s form ADV 2How do participants get guidance/education to ensure they are on track for retirement?
This information can be found in the service agreement between your advisor and your planContact Information
Confirmation
Thank you for taking the Fiduciary Risk Assessment.
Someone from our team will reach out to you shortly.
Fiduciary Liability
Fiduciary mismanagement can cost a business tens of thousands of dollars in legal fees and fines. The better you understand your risk, the more you can do to minimize it.
Schedule a Consultation
One of our 401(k) business specialists would love to talk to you about your company’s retirement plan needs.