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401(k) Plans

A 401(k) is a retirement savings plan sponsored by the employer.  This plan has the ability to allow you to defer taxes by making contributions from your paycheck pre-tax to grow tax-deferred or after-tax to grow tax-free, if the ROTH option is part of your plan.  Ask us which option is best for you.  We will help you to create an asset allocation that best suits your needs.  

We are 401(k) Fiduciaries Who

  • Are 3(21) Investment advisors
  • Are 3(38) Investment managers
  • Receive no commission compensation
  • Receive no revenue-sharing with mutual funds
  • Provide objective advice for a level fee
  • Are knowledgeable about the DOL Fiduciary Rule

Our 401(k) Plan Clients Receive

  • Availability of low fee index funds
  • Best of breed active mutual funds
  • A choice of record-keepers
  • A choice of third party administrators
  • Full transparency regarding fees

We Help Company 401(k) Sponsors

  • Comply with the Department of Labor Fiduciary Rule
  • Check that 401(k) plan costs are reasonable
  • Monitor performance of all plan investment choices
  • Evaluate pros and cons of alternative 401(k) investment platforms
  • Conduct a fiduciary check-up to monitor compliance
  • Insulate plan trustees from liability as plan fiduciaries

See the 401(k) Resource Guide for details on 401(k) plans.

  • Are 3(21) Investment advisors
  • Are 3(38) Investment managers
  • Receive no commission compensation
  • Receive no revenue-sharing with mutual funds
  • Provide objective advice for a level fee
  • Are knowledgeable about the DOL Fiduciary Rule

Participate in a 401(k) Plan Contribution limits

  • Are 3(21) Investment advisors
  • Are 3(38) Investment managers
  • Receive no commission compensation
  • Receive no revenue-sharing with mutual funds
  • Provide objective advice for a level fee
  • Are knowledgeable about the DOL Fiduciary Rule

401(k) Plans for Small Businesses

  • Are 3(21) Investment advisors
  • Are 3(38) Investment managers
  • Receive no commission compensation
  • Receive no revenue-sharing with mutual funds
  • Provide objective advice for a level fee
  • Are knowledgeable about the DOL Fiduciary Rule

Correction or Bear Market?

Is the recent pull back in the market a normal correction or the start of a “Bear Market”? This is a question on the minds of many investors today. Only time will tell, but from the information at hand it does seem to me like a normal correction within a bull market....

Cash Is an Asset Class

There are times when having cash in your investment account makes more sense than being fully invested.  The amount of cash to have available at any given time varies when it comes to money management.  There are times when being fully invested is appropriate and...

Buyer Beware of Variable Annuities

Are you thinking of purchasing a Variable Annuity or do you already own one? I would encourage you to do some homework before purchasing one, and if you already own one please have it reviewed and make sure you understand all the moving parts. Why? Annuities have...

How is your Advisor Compensated?

Do you know how your Financial Advisor is compensated?  When I started in this business 20 years ago, the only way I made money was if one of my clients placed a trade.  I was young and at the time thought that was a normal way of doing business.  This is one of those...

Don’t Get Sold a Product

Can you tell the difference between someone who is trying to sell you something and someone who is trying to provide a service? Financial Advisors are there to provide a service. They should not be selling you on the next best product. This is my opinion obviously and...

Equifax Cyber Security Incident

On September 7, Equifax – one of the largest American credit agencies – announced a data breach by cyber criminals that may affect you.  The criminals gained access to millions of Americans’ personal information, including Social Security numbers, birth dates,...

The Truth about your Indexed Annuity Bonus

Do you know the saying “If it sounds too good to be true it usually isn’t”?  Upfront bonuses on annuity purchases have been around for a while now, and they probably are not going away anytime soon.  I am here to shed some light on the truth behind the bonus that your...

Volatile Markets create Opportunities

If you read my last article, you would already know that I thought market volatility would increase in October.  Well, it’s happening and now is not the time to panic.  Now is the time to take advantage of opportunities that will increase the overall performance of...

Is this the beginning of a Bear Market?

After the first few days of trading to start 2016, I am sure this question is on the minds of many investors.  The start of 2016 has been less than stellar for the stock market and I am sure it has caused some nervousness in the investment community.  There are many...

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