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Working with you to customize a service model for your needs.  Always
availableto support your ongoing service issues, questions or requests.
Look to us first to coordinate, research, resolve and follow up.
Our Model
With you, we tailor a schedule of regular service to
properly maintain your plan and support your participants.

Plan Sponsor Solutions

  • Maintain plan documents to be uploaded to your personal folder(s) on the 401KO website
  • Draft and maintain your (IPS) Investment Policy Statement
  • Monitor plan investments quarterly.  Email and upload the reports for your review and record of fiduciary due diligence
  • Upload provider 408(b)(2) & 404(a)(5) notices
  • Benchmark plan level fees against comparable plans as required or upon request
  • If applicable, hold semi-annual or annual Investment Committee Meetings
    • Draft meeting agenda, run the meeting and keep the minutes
    • Upload meeting agenda & minutes for review and record of fiduciary due diligence

Participant Solutions

  • Hold semi-annual or annual group education meetings
  • One-on-one participant meetings
  • Print and distribute required notices for attending participants
  • Specific 401(k) allocations, investment advice, and discussion of financial issues in
    or out of the 401(k).  
    • Some financial advice may require a separate financial planning agreement.
  • Educate participants on proper 401(k) management:
  • Review of participant demographics & allocations to target communications to participants who may:
    • Be new to the plan or nearing retirement
    • Not be participating or deferring enough
    • Not appear to have an educated investment allocation
  • Available to participants by phone or email to service their questions or needs
This listing of potential plan services does not represent the actual service offered or utilized by all of our retirement plan clients