Broker Check

Annual Service Commitment

Quarter 1

Employee Communications / Education and Goal Setting

  • Distribute IRS tax deferral limits
  • Coordinate education & enrollment calendar
  • Review retirement readiness tools: Onsite/Online/Video

Quarter 2

Compliance Filings / Plan Administration Services

  • Proactive service inquiry
  • Confirm data collection for annual reporting requirements
    -  Compliance testing
    -  550 forms
  • Deliver monthly education

Quarter 3

Plan Benchmarks / Fees, Funds & Plan Design

  • Evaluate current plan design
    -  Owners and Highly Compensated
    -  Participation
    -  Contribution
  • Benchmark investment lineup
    -  Performance
    -  Expenses
  • Fiduciary regulations update

Quarter 4

Financial Wellness / Platform

  • Discuss Financial Wellness program
    -  Evaluate progress of education information
  • Provide reminders for Profit Sharing, saving goals
  • Proactive service inquiry