65+
Years of Finance Experience
150+
Small Businesses and Families Served
Comprehensive Retirement Plan Services
Small business benefits are more important now than ever to. Retirement plan benefits help employer and employees increase their success in obtaining their retirement goals. With this mind, we strive to serve both the employer and employee with personalized financial planning and investment solutions. As ERISA fiduciaries, we help employers select the appropriate retirement plan, plan partners and associated vendors. Operating in in either a 321 or 338 fiduciary capacity, our process includes reviewing, implementing, and monitoring your plan to keep you up and your fiduciary filing cabinet up to date. For your valued team members and employees, we help with education, enrollment, and investments.
Our Goal: Help People Retire.
Our Managed Packages
ERISA Services and Plan Options
|
BRONZE |
SILVER |
GOLD |
PLATINUM |
|
|---|---|---|---|---|
| BASIC PLAN SERVICES |
Annual meeting with executives, Investment Review committee (IRC) and participants. | Semi-annual meeting with executives, IRC and participants. | Quarterly meeting with executives, IRC and participants with market update and education. | Quarterly meeting with executives, IRC and participants with market update for all participants. |
| ENROLLMENT | Sponsor driven process. | Sponsor driven process.
Legacy Financial Advisors liaison. |
Legacy Financial Advisors driven with initial email, letters, documents and follow-up. | Legacy Financial Advisors driven with initial email, letters, documents and follow-up.
Enrollment meetings. |
| PARTICIPANT EDUCATION | Platform resources available i.e. website with tools, calculators and more. |
Market overview at semi-annual meeting. |
Quarterly participant educational meetings.
Prompt personal communication with licensed registered rep for participants and executives. |
Quarterly participant educational meetings.
Prompt personal communication with licensed registered rep for participants and executives. Annual Lunch-n-Learns. |
| FIDUCIARY SERVICES |
Sponsor chosen platform. | Sponsor chosen platform with Legacy Financial Advisors assistance and 3(21) platform review. | Legacy Financial Advisors driven with 3(38) fiduciary responsibility fund line up and changes.Annual review related to the DOL Fiduciary Rule by Legacy Financial dvisors. Portfolio allocation buckets. |
Legacy Financial Advisors driven with 3(38) fiduciary responsibility fund line up and changes.
Annual review related to the DOL Fiduciary Rule by Legacy Financial Advisors. Portfolio allocation buckets. Quarterly investment committee meetings. |
Included in all Basic Plan Services: Platform Maintenance.
Participant Services. (Contribution/Distribution) Liaison.
The 4 Pillars of THE ERISA PLAN PARTICIPANT PROCESS
While working in-conjunction with your company, the financial advisors at the Legacy Financial Advisors strive to provide excellent participant and plan level service. We believe that each pillar in the ERISA Plan Participant Process related to your 401(k) or 403(b) programs is an essential member.
