We use a six-step process to help Plan Sponsors bridge the gap between planning and execution. Whether you are seeking cost-effective ways to offer attractive retirement plans to your employees and executives, or wish to optimize your plan’s management and performance, we provide a disciplined approach and employ unique analytical tools to connect your goals to results.
Through our years of experience working with corporate retirement plans, we have acquired a broad-based knowledge of pricing and plan providers across multiple platforms. This enables us to offer a comprehensive suite of services and allows us to guide you in making smart, objective decisions in a wide range of areas, based on your company’s goals. Several of these services include:
- Participant-level recordkeeping/accounting
- Employee and employer reports
- Tracking investment allocations/changes and contribution changes
Summary plan description
Annual 5500 and pertinent schedules
ERISA Plan audit (if applicable)
All available investment offerings including cash, income, hybrid and equity investments
Hard dollar fees (that are a specific amount) - paid by the employer or employees, including participant recordkeeping, compliance, loan administration, hardship and distribution fees
Soft dollar fees (that are a specific percentage) – generally paid by employees for investment management expenses and to subsidize some or all of the administrative fees
Services that enhance plan efficiency, productivity, understanding and value
Web-based participant investment tools
Web-based employer tools
Materials describing plan design and investing
Payroll stuffers, posters, memos
Our Fiduciary Shield™ is designed to provide guidance and tools to reduce your exposure to fiduciary liability.
Fiduciary Guidance & Support
CFOs, CEOs, Presidents and other fiduciaries have personal liability for assets in the company’s retirement plan. The following chart illustrates just a few of the fiduciary considerations required of plan sponsors under ERISA 408(b)(2) and 404(a)(5). To help you comply with these and other ERISA rules, we created The Fiduciary Shield™ guidance and tools as a means to help you reduce your exposure to fiduciary liability.
Investment Policy Statement (IPS)
Quantitative & Qualitative Fund Analysis
Prudently Select Investments
Consistently Implement Results
Independently Monitor Investments
Defray Reasonable Expenses
Follow Plan Document
Protection for Participant Investment Decisions
Broad Range of Investment Options
Sufficient Investment Information and Education
Description of Fees and Expenses
404(a)(5) Policy Statement and Employee Notice
Copy of Prospectus
Description of Investment Alternatives and Funds
Voting and Tender Rights (if applicable)
Are you ready to get started? Contact us today!
Broadview Financial Advisors, Inc.
105 W. 4th Street
Cincinnati, OH 45202
8250 Woodfield Crossing Blvd.
Indianapolis, IN 46240
Fee-based planning is offered through Broadview Financial Advisors, Inc., a State Registered Investment Advisor. Third party money management is offered through ValMark Advisors, Inc., an SEC Registered Investment Advisor. Securities are offered through ValMark Securities, Inc., Member FINRA, SIPC. Broadview Financial Advisors, Inc. is a separate entity from ValMark Securities, Inc. and ValMark Advisors, Inc.