Request a complimentary fiduciary oversight review.

Make sure all your duties and responsibilities as a plan sponsor are correctly covered.

Our team specializes in providing employee benefit plan services to businesses and their associates – helping to develop and implement qualified retirement plans tailored to meet their specific needs.

We stand ready to do the same for your company. We can put our experience to work in assisting you with the development  and redefining your investment policy statement to help minimize your liabilities, and offering you a structured and monitored investment selection – an area the Department of Labor scrutinizes when they conduct a plan audit.

You'll enjoy the convenience of a single source of support for your retirement plan needs - including plan and compliance consulting, investment recommendations and monitoring, comparative analyses of vendors, executive benefits, employee education and communications and recommendations for transitioning and integration of your company retirement plan.

What's more, we are committed to educating and interacting with your employees at every level of your company to help ensure the highest level of service and client satisfaction.

Our team can help provide you with confidence in managing your plan by supporting you in the design and implementation of 401(k), 403(b), 457, defined benefit, profit sharing, employee stock ownership and non-qualified plans. We'll continually monitor your plan to help pinpoint potential risks and pitfalls associated with its administration. And we'll assist you in addressing compliance and operational issues, including regulatory changes and low employee participation. Our belief is that freeing you to focus on your business makes for a better use of your valuable time – and we think you'll agree.

The Employee Retirement Income Securities Act (ERISA) requires that plan sponsors meet specific standards. We understand that compliance with both regulatory changes and recent industry trends is not only important, but mandatory for the successful execution of your retirement plan. Therefore, our advisors specialize in coordinating the necessary investment advice, employee communication and document revisions to help you comply with regulatory demands.

Our advisors know that structured investment selection and monitoring for our clients' retirement plans leads to better and more informed fiduciary decision making. Our disciplined analysis ensures that we employ a thorough combination of quantitative and qualitative assessments before helping you select the investment options that best match your goals.

We will also work with you in developing and refining your investment policy statement, to manage your liabilities. We maintain regular communication with your selected provider to help ensure you receive the information necessary to make more informed decisions on your investment choices. Our semiannual investment review is an extensive monitoring process that helps to see to it that your plan maintains quality investment options for the years ahead. Our investment review includes: Market overview Portfolio summary Asset allocation standings Mutual fund performance analysis

Our advisors understand that a fiduciary review of your retirement plan programs is an essential step in ensuring your employees are receiving the best benefit plans available. So we offer this 6-step provider search and selection process to help ensure that your vendors are compatible with your company's objectives.

  • Step one: Identify clients' unique characteristics and plan complexities.
  • Step two: Customize requests for proposal (RFP) document review of available vendors.
  • Step three: Identify specific vendors initially meeting clients' objectives, finalize RFP content, distribute RFP to identified vendors, manage the RFP response.
  • Step four: Gather responses, compile a formal presentation reviewing vendor responses and present the initial findings.
  • Step five: Facilitate finalist onsite presentations.
  • Step six: Coordinate final evaluation selection of vendor by client (or remain with current vendor); prepare management/engagement letter.

Our advisors recognize the difficulties that arise during a plan transition, consolidation or merger to a new provider or investment manager – and are well positioned to provide your company with the knowledge and support necessary for a seamless transition. We will plan your proposed move with an unparalleled attention to detail, provide a project timeline and manage the transition to ensure the necessary documents and data are processed expediently and correctly.

Our advisors provide a wide array of employee education services as part of our ongoing partnership with your company, including customized educational workshops so your employees will have all the information and support they need. With our customized education campaigns, we can address individual concerns and expand on the knowledge plan participants and sponsors have previously gained from brochures and past workshops.

Education topics include:

  • Investing in an uncertain market Taking control of your retirement
  • Common mistakes in planning for retirement
  • Saving for college

We want your employees to have the assets they need for a comfortable retirement, and we know that a solid understanding of their retirement plan is essential for reaching that goal. It's why we're committed to always being available to answer questions and meet with your employees. We take the time to understand their unique needs, goals and ambitions and offer impartial investment advice to help them achieve their objectives.

Our advisors can help your company design a supplemental or fringe benefit plan that will allow you to recruit and retain quality executive candidates in today's competitive marketplace. Our aim is to integrate individual executive benefit plans with the personal aspirations of the executives we serve. Since legislation limits the amounts highly compensated executives can contribute to a qualified retirement plan, it reduces the percentage they can contribute – a condition commonly referred to as reverse discrimination.

We have extensive experience in helping you identify and resolve this issue. We can show you what options will work best for your company's culture and situation. Plus, we can recommend alternative plan designs should design inconsistencies or estate issues arise. With our expertise in the area of executive benefits, you can be assured that your needs will be served with the highest degree of professionalism and proficiency.

As our advisors work with you to develop a plan designed to intelligently and responsibly manage your wealth into the future, we are equally committed to helping ensure your assets are protected and your accounts. Raymond James & Associates is a member of the Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at or by calling (202) 371-8300.

Raymond James has purchased excess SIPC coverage through various syndicates of Lloyd's, a London-based firm. Excess SIPC is fully protected by the Lloyd's trust funds and Lloyd's Central Fund. The additional protection currently provided has an aggregate firm limit of $750 million, including a sub-limit of $1.9 million per customer for cash above basic SIPC for the wrongful abstraction of customer funds.

Account protection applies when an SIPC-member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against market fluctuations. Raymond James & Associates, Inc., member New York Stock Exchange/SIPC, is an affiliate of Raymond James Financial Services, Inc., member FINRA/SIPC. Both are wholly owned subsidiaries of Raymond James Financial, Inc. (NYSE-RJF), a financial services holding company.

Account Access Links

For your convenience, we have provided links to the most common plan providers below. Please click on the link for your company to access your account.





The company retirement plans listed on this page do not sponsor or endorse the LPL Financial Advisors on this site.
LPL Financial is not affiliated with the above organizations and/or charitable causes.