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401(k) for Employers

Better for your employees. Better for you.

We help you attract and keep talent by improving your plan’s design and making certain you’re meeting your fiduciary responsibility.

What is your fiduciary responsibility?

As an employer with a defined contribution plan, your fiduciary duty means you are legally responsible for providing your employees with the highest standard of plan care.

Meeting your legal fiduciary responsibility

To help meet your fiduciary responsibility, we provide:

  • Customized investment policy statements
  • Customized employee policy statements
  • Quarterly investment reviews
  • Any available fiduciary services

Improve your plan's design and function

We’ll become experts in your plan and work to improve it so that it functions better and meets the saving and investment needs of your participants. We implement or improve your:

  • Safe-harbor design (matching and non-elective)
  • Cross-tested profit sharing
  • Auto-enrollment and escalation
  • Qualified default investment alternatives (QDIA)
  • Roth provision

Diversify your plan's investment menu

Our in-house investment team has constructed a highly-diverse investment menu, including:

  • Passively-managed index funds
  • Exchange-traded funds
  • Primarily low-cost institutional funds
  • Actively-managed investments

We're serious about educating your employees

We really value education. To support your company, your plan and your employees, we provide comprehensive educational materials, including:

  • Webcasts
  • Podcasts
  • Articles
  • On-site training
  • Phone support
  • Bi-lingual services

As your plan administrator, we can assist your employees with their retirement accounts, help protect you legally, and make your life and your job easier.

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Securities offered through AW Securities, a Registered Broker/Dealer, member FINRA/SIPC. Check the background of this firm on FINRA's BrokerCheck.

1The NBRI Circle of Excellence Award is bestowed upon NBRI clients meeting one or both of the following criteria: Total Company score at or above the 75th percentile of the NBRI ClearPath Benchmarking Database and/or improvement of five (5) or more benchmarking percentiles in Total Company score over the previous survey. 

2Scott Hanson (2011, 2012, 2013, 2014, 2015 & 2016) and Pat McClain (2012, 2013, 2014, 2015 & 2016). Barron's© magazine is a trademark of Dow Jones L.P. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors' practices.

3As of 03/19, Allworth Financial, an SEC registered investment adviser and AW Securities, a registered broker/dealer have approximately $4.5 billion in total assets under management and administration. 

4Barron’s 2019 Top 50 RIA Firms. Barron's© magazine is a trademark of Dow Jones L.P. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors' practices.

✢Scott Hanson, Investment Advisor 2005, 25 most influential people in the financial services industry. The ranking reflects 25 people who Investment Advisor magazine believes have had or will have the greatest influence on the financial services industry.

✼Pat McClain, InvestmentNews 2014, Invest in Others Community Service Award, presented to an advisor who has made an outstanding impact on a community through managerial contributions to a non-profit organization.

†Financial Times, FT 300 Top Registered Investment Advisers, June 2019. The ranking reflects six areas of consideration including the company's years in existence, industry certifications of key employees, AUM, asset growth, SEC compliance record and online accessibility and calculates a numeric score for each company. 

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.