A Customized Approach to Fiduciary Plans
Whether you need a complete fiduciary plan design, implementation and fiduciary monitoring of your 401(k) or 403(b) retirement plan, or need a particular service from our professionals; we can help create a customized retirement benefit solution to meet your employee and business financial goals and objectives.
Education and Training – Plan Sponsor and Retirement Plan Committee Fiduciary Education to ensure all parties understand and acknowledge their basic fiduciary responsibilities under ERISA
Retirement Plan Fiduciary Assessments – Assists plan sponsor in reviewing current practices to determine if fiduciary shortfalls exist and recommendations for improving compliance
Vendor Search and Selection – Request and compare proposals received to determine best fit for your employer sponsored retirement plan
Open Architecture Trading Platform and Professionally Managed Portfolios – Access to world class mutual funds in each investment category for a true open architecture and revenue neutral investment trading platform with managed model portfolios
Prudent Investment Practices – As a registered fee investment advisor and fiduciary as defined by ERISA, we assist the plan sponsor in developing or maintaining the plan’s Investment Policy Statement to provide a documented due diligence process to select, monitor, remove and replace under performing funds in the platform as required by plan sponsors under ERISA
Discretionary Trustee Services – Research, select and independently monitor a discretionary trustee who assumes full fiduciary responsibility from the plan sponsor for selection and prudent management of investments offered with the plan
Full and Transparent Fee Disclosure – Annual review of fees according to Department of Labor Model Fee Disclosure, including all revenue sharing payments, associated with operating the plan to ensure fees are fair and reasonable as required by plan sponsors under ERISA
Joe Connell, AIF®, QPFC, CRPS®, RF™
Partner, Director of Retirement Plan Services
Joe has dedicated the past 15 years to helping organizations improve and enhance their retirement programs. His long-term track record of success is a result of working with hundreds of employers in implementing prudent processes designed to reduce fiduciary liability and plan expenses, meet specific plan objectives and significantly improve participant outcomes.
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Client Relationship Manager, Retirement Plan Services
Tom Roffers is a Client Relationship Manager for the Retirement Plan Services team at Sikich Financial. Based in Minnesota, Tom supports retirement plan consultants and endeavors to build long-term client relationships.
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