Investment Advisory Services

Investment Policy Statement: I assist plans in the preparation or review of an investment policy statement (“IPS”) for the plan based upon consultation with my clients.
Discretionary Investment Changes: If providing 3(38) Investment Manager services, I make selections of or changes to specific investments to be made available as investment options under my plans and based on the criteria established by a plan. I select investment replacements if an existing investment is determined by me to no longer be suitable as an investment option.
Ongoing Investment Monitoring: I perform ongoing monitoring of investment options in relation to the criteria provided by my clients to me.
Qualified Default Investment Alternative Assistance: I assist clients in identifying an investment product or model portfolio in connection with the definition of a “Qualified Default Investment Alternative (“QDIA”) under ERISA (for plans subject to ERISA).
Discretionary Model Portfolios: I can develop and maintain custom target-date or risk-based model portfolios based upon criteria stated in an IPS.
Performance Reports: I prepare periodic reports reviewing the performance of all plan investment options, as well as comparing the performance thereof to benchmarks.