Fiduciary Management

Your plan, and how you manage it, increasingly is falling under intense scrutiny — not only from participants, but also from the regulatory bodies that are responsible for protecting participants' interests.

As your partner, we can share much of this fiduciary responsibility with you, and implement a disciplined process to better manage your fiduciary obligations.

 

Ongoing Assessment


We continually monitor and review your plan's investment options, fees, and services for adherence to plan objectives and guidelines.
 

Documentation and Records
 

We create and maintain a fiduciary audit file to house documents and record the process you follow to manage your plan.
 

Investment Committee Oversight
 

We help establish and oversee the group of individuals appointed to ensure that your plan is fulfilling its objectives.
 

Investment Selection
 

We help you develop an Investment Policy Statement, the guiding document that establishes a consistent process for evaluating and selecting investment options.
 

Fiduciary Review
 

We conduct a thorough evaluation of your plan to ensure compliance with ERISA, plan documents and current legislation. We also examine plan fees and expenses to make sure costs are reasonable relative to the value and services being provided. 
 

Tips to understand your retirement plan's fees

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PlanWise Financial Group
4801 Spicewood Springs Road, Suite 200, Austin TX 78759

Phone: 512.290.9020  |  Fax: 512.290.9010 

This communication is strictly intended for individuals residing in the states of AR, CA, CO, FL, GA, ID, IL, LA, MA, MD, MI, MN, MS, NJ, NM, NY, OK, PA, TN, TX, UT, VA, WA, WY. No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services. Investments are not FDIC- or NCUA-insured, are not guaranteed by a bank/financial institution, and are subject to risks, including possible loss of the principal invested. Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser.

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