Investment Adviser

Plan Sponsor Adviser, LLC is an independent investment fiduciary for Companies sponsoring 401(k), profit sharing, and pension plans (ERISA covered retirement plans). The firm is hired by plan sponsors to provide investment due diligence, regulatory guidance, and advice for their employee retirement plans.

  1. Formalize the investment policies and procedures in accordance with ERISA Section 404(a)(1) “prudent man standard of care” (solely in the interests of participants and beneficiaries);
  1. Analyze the current investment array addressing the requirements of ERISA Section 404(c), the needs of the participants, and in meeting the specific objectives of the plan;
  1. Design investment structure where plan investment strategies are indentified, with alternatives being evaluated, monitored, removed and/or added as necessary;
  1. Define selection criteria (investment strategy and participant demographics), where a list of selection characteristics are introduced to help identify investments that will perform in accordance with expectations;
  1. Monitor and supervise, where control procedures are established to alert Plan fiduciaries to changes that may impede the ability of the investment option to meet its stated objective(s).

In situations where the Adviser begins to lose confidence in an investment’s potential to meet expectations, foresees an asset class or sub-asset class may need more or less representation, or a competing investment alternative may be more beneficial to plan participants; we will describe to you the future expectation, or benefit, and provide a corresponding investment recommendation.

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