One Stop Employer-Sponsored Wealth Advisory Services

Companies who support employees in and out of the workplace are winning top talent. Wellness programs have exploded in popularity and can serve as a leg up against your competition.

Employee Need

Employees want to make smart and informed financial decisions, they just do not know where to turn to for trusted quality advice. In a recent survey 60% of employees said they want help in achieving financial security from their employer.


Plan sponsors and trustees are under increasing pressure to stay compliant with ERISA. It seems like every week another large company’s 401(k) plan is being sued for not having “reasonable” fees and expenses. Your not the expert, transfer the risk to someone who is.

The Bottom Line

A more productive workforce is a more efficient workforce. In a recent survey 47% of employees said personal finances caused emotion stress and interfered with their ability to perform at work. Additionally, low costs within retirement plans benefit the company and all participating employees.

Employer-Sponsored Retirement Plans

The Employee Retirement Income Security Act (ERISA) of 1974 mandates any person responsible for the management of an employer-sponsored retirement plan act prudently and make well-informed decisions. Further, if you do not understand your duties or lack expertise it is required you hire professional assistance.

By working with a Registered Investment Advisor who works in a 3(38) Investment Manager capacity you can feel confident knowing your plan is managed by experts, managed prudently, and in the best interest of the organization and its employees.

Developing an investment line-up that considers compliance, expenses, and exposure to the markets is always important, but real value in an advisor relationship comes by working with participants by helping them achieve their financial goals. By having a CERTIFIED FINANCIAL PLANNER™ regularly providing support, these goals have a higher probability of success.

Contact us today for a complementary review of your plan, how it measures against your competitors, and what you can do to reduce risk.

Employer-Sponsored Financial Wellness Program

In a national survey conducted by the American Psychological Association, financial stress is the leading source of stress among Americans. Most, if not all employees have financial concerns beyond the typical employer-sponsored retirement plan (401(k), 403(b), etc.).

Give your employees what they want in a dynamic and flexible benefit where needs are listened to and addressed by a CERTIFIED FINANCIAL PLANNER™. The program consists of periodic in-house group sessions, one-on-one consulting, and timely and relevant tools and content. In-house group sessions address a variety of topics including but not limited to:

  • Monthly cash flow spending and saving strategies
  • Student loan strategies
  • Debt management and home equity
  • College savings
  • Major purchase funding
  • Risk management considerations
  • Social Security strategy
  • Retirement income planning
  • Estate planning considerations

Value to Organization

More focused and satisfied employees.

Attract and retain top talent.

Increased profitability/efficiency.

Be a Best Company to Work For.


Value to Employee

Personalized and confidential advice.

Less stress over financial concerns outside the workplace.

Continued personal financial education.

Better prepared to achieve personal financial goals.