401(k) Financial Advisor Directory

Do you need a financial advisor for your retirement plan? Employee Fiduciary can help. We work with hundreds of advisors nationwide. To find a financial advisor that works with Employee Fiduciary in your area, please select your state from the menu below.

1080 Financial Group
Experience With Retirement Plans Firm's CRD Number: 226710 14724 Ventura Blvd., Suite 1205 Sherman Oaks, California 91403 855-360-1080 x102 http://1080financial.com/

States Approved
  • California
Credentials
  • Other
  • CFP
Participant Services
  • Other
Participant Service Other Described Financial Wellness Education Program
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
401 Advisor, LLC
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 126428 203 W. Franklin Street Centerville, Ohio 45459 937-434-1790 http://www.401advisor.com/

States Approved
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Managed individual accounts
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Abound Wealth Management
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 285903 725 Cool Springs Blvd., Suite 60 Franklin, Tennessee 370 615-226-3667 http://aboundwealth.com

Abound Wealth Management provides consulting services to 401k plans and assists small and mid size businesses with reviewing their current employer sponsored plans. Many times these plans are sold by investment and insurance companies and typically have high fees, limited and poor investment choices, and little to no education for employees.

Some of the services we offer include:

- Overall review of plan design based on the goal and objective you are looking to accomplish.

- Reviewing your current fund line-up, asset classes, and making recommendations for improvements.

- Review of overall plan cost including admin fees, fund fees, and your out of pocket costs.

- Developing an Investment Policy Statement.

- Quarterly fund review to assist you in meeting your fiduciary responsibilities.

- Educational presentations for your employees.

- Access to CFP® professionals to answer your employees’ investment related questions throughout the year, not a 1-800 number.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Rhode Island
  • South Dakota
  • Utah
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
Credentials
  • CFA
  • CPA
  • PFS
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Access Financial Financial Resources, Inc.
Experience With Retirement Plans Firm's CRD Number: 109495 3621 NW 63rd Street, Suite A1 Oklahoma City, Oklahoma 73116 405-848-9826 http://www.afradvice.com

Fiduciary adviser that provides objective advise to help achieve client goals while maintaining maximum flexibility and control.

States Approved
  • Oklahoma
  • Texas
Credentials
  • Other
  • CFP
Credentials Other Specified Attorney
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Adam C. Harding, CFP®
10 - 20 years Experience With Retirement Plans Adam C. Harding Advisor's CRD Number: 282686 7135 E. Camelback Rd, #230 Scottsdale, Arizona 85251 (480) 205-1743 http://www.adamclarkharding.com

Our firm is founded on transparent, low-cost, client-first fiduciary advice. Our five step process for investment selection is intended to provide the prudent, comprehensive tools for plan participants to meet their financial goals.

Our training as a CERTIFIED FINANCIAL PLANNER also leads us towards taking the time to help individual participants to understand how their employer-sponsored retirement plan fits into the context of their lives.

States Approved
  • Arizona
  • Texas
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Target Date Funds (TDFs)
Advanced Retirement Solutions
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 288022 1122 Meridian Avenue San Jose, California 95125 (408) 691-1115 http://www.arsadvisor.com/

We are fiduciary fee based advisors who specialize in providing customized solutions to our clients. We install and monitor 401(k), 403(b), 457 and defined benefit plans for our profit and non-profit clients.

States Approved
  • Arizona
  • California
  • Nevada
Credentials
  • AIF
  • QPFC
  • Other
Credentials Other Specified PRP CRPS
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Adviser Investments, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 156984 Sophie Benander Advisor's CRD Number: 7129824 85 Wells Ave, Suite 109 Newton, Massachusetts 02459 617-321-2388 sbenander@adviserinvestments.com https://www.adviserinvestments.com/

The benefits of offering tax-deferred retirement savings plans for your employees are difficult to ignore. At Adviser Investments, we have years of experience providing advisory management to 401(k) plans. Our services for plans and their participants include: An initial evaluation, where we examine your existing plan and suggest improvements to the investment options as necessary; the creation and management of diversified portfolios within your plan suited for a range of investment objectives at varying levels of risk; and ongoing education on saving for retirement as well as opportunities for participants to discuss integrating their personal investments with their retirement assets in a comprehensive wealth-management plan.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • AIF
  • CFA
  • CPA
  • PFS
  • QPFC
  • Other
  • CFP
Credentials Other Specified CRPS, CRPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
AFS Advisors
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 156180 1325 Satellite Boulevard, Building 1300, Suite 1301 Suwanee, Georgia 30024 (678) 473-0324 http://afsadvisors.com/

AFS Advisors, LLC ("AFS") is a "fee-only" Investment Advisor registered with the Securities and Exchange Commission. With two decades of investment advisory experience, AFS combines sound strategy and intelligent ideas to position you to reach your investment objectives. AFS' advisory business involves two components: comprehensive investment management services for individuals, high net worth individuals, closely-held corporations, business entities, trusts and estates; and corporate consulting services for defined benefit, profit sharing plans and 401(k) plans.

States Approved
  • Georgia
  • South Carolina
AG Asset Advisory, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 154406 10100 Santa Monica Blvd, Ste 300 Los Angeles, California 90067 (310) 907-8656 http://agassetadvisory.com

Our firm was founded with a vision of bringing people closer to their goals, values and dreams. We treat our clients like family and follow a non-corporate agenda. We are a wealth advisory practice that provides a wide range of services to a select group of tech entrepreneurs and business leaders.

States Approved
  • California
  • Texas
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Target Date Funds (TDFs)
  • Other
Investments Offered Other Described Dimensional Funds
Anderson Financial Strategies, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 290343 Shon P. Anderson Advisor's CRD Number: 5276913 2500 Kettering Tower Dayton, Ohio 45423 (937) 610-9388 info@andersonfinancialstrategies.com https://andersonfinancialstrategies.com/

By having Anderson Financial Strategies as your Retirement Plan Advisers, your stakeholders will enjoy the benefits of boutique-level services. This means that both Plan Administrators along with Participants have a high level of access to your plan’s dedicated Advisory team, instead of only dealing with call centers or other support members.

We embrace serving as a fiduciary and will put our commitment in writing. Our focus is on providing unbiased, objective advice that is customized to fit your retirement plan’s needs.

As a client, you will be plugged into an "ecosystem" of financial advice that is designed to deliver confidence about your retirement plan’s benefits.

Our mission is to provide our clients with expert quality strategies and rapidly responsive service through an open honest relationship.

States Approved
  • Ohio
Credentials
  • AIF
  • CFA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Participant Service Other Described Complimentary Financial Planning Assessment
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Approach Financial
Experience With Retirement Plans Firm's CRD Number: 13572 Justin Pritchard, CFP®, MBA, PPC® Advisor's CRD Number: 4055823 210 E. Man St. Montrose, Colorado 81401 (970) 765-0595 info@approachfp.com https://approachfp.com/

What would make your organization’s retirement plan successful? We help you design and run a plan that moves you toward those goals, is easy to work with, and is reasonably-priced for both business owners and participants. Services include benchmarking, employee enrollment and education, vendor selection and management, financial wellness, and ongoing plan reviews. We help you manage your fiduciary liability, keep costs competitive, and promote retirement readiness to participants. We also fix issues and mistakes from previous service providers so that plans get back on track. Services are available to one-person employers, startup plans, and larger existing plans.

In addition to plan consulting, we communicate with participants to help them take advantage of the plan and reduce discrimination testing failures. We offer virtual and in-person one-on-one meetings, group presentations, and individualized guidance for employees who want help planning for retirement.

Justin Pritchard, CFP, MBA, PPC is your main point of contact, with a strong network of additional professionals available to assist as needed. We provide fiduciary, fee based-services and can work under a flat fee, assets under management, or an hourly rate.

States Approved
  • Colorado
Credentials
  • Other
  • CFP
Credentials Other Specified MBA, PPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Financial Wellness (credit, budgeting, money 101), participant education
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Archer Investment Corporation
Experience With Retirement Plans Firm's CRD Number: 136403 9000 Keystone Crossing, Suite 630 Indianapolis, Indiana 46240 (317) 581-5664 https://www.archerinvestment.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFA
  • CPA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • 409(A)
Compensation Structure
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Asset Advisors Group, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 25803 Randy Martinez, MS, CPA, CFP® Advisor's CRD Number: 4930351 4779 Atlanta Road, Suite 250 Atlanta, Georgia 30339 (678) 996-0962 http://www.assetadvisorsgroup.com

We offer video enrollment guides, webinars and one-to-one meetings depending upon your needs and price point.

States Approved
  • Alabama
  • Florida
  • Georgia
  • Louisiana
  • Maryland
  • Mississippi
  • North Carolina
  • South Carolina
  • Texas
Credentials
  • CPA
  • Other
  • CFP
Credentials Other Specified Master's Accounting - Taxation
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Rollover Support, Loans
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Bachmann Financial Group
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 10205 Advisor's CRD Number: 5504839 6015 Pierson Rd #2 Flushing, Michigan 48433 810-230-1375 http://www.bachmannfinancial.com/

As an independent insurance agency, Bachmann Financial Group, Inc. offers employee benefit packages designed to meet the requirements of your company and its employees. Our broad range of insurance and retirement options, available through a select group of insurance and financial companies, allows us to provide you with the competitive, cost-effective benefits essential in today’s business environment.

Our licensed insurance advisors and service staff strive to deliver outstanding service in the areas of corporate benefits, retirement plans, and business insurance, as well as individual insurance.

States Approved
  • Michigan
Compensation Structure
  • Commissions
Investments Offered
  • Actively-managed mutual funds
Barden Capital Management
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 141769 8828 Mountain Path Circle Austin, Texas 78759 512-366-8081 http://www.bardencapital.com/

Barden Capital offers personalized investment management. Our solutions are tailored to each client's specific situations and goals.
The client's interests come first. Barden Capital is a fee-only firm. We do not accept commissions on any investments we recommend. We are on the client's side 100% of the time.
Barden Capital takes an analytical approach to investment management. We believe financial decisions should be based on objective criteria, not on opinions, guesswork, or the latest media stories.

States Approved
  • California
  • Kansas
  • Texas
Credentials
  • CFA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
Beacon Hill Investment Advisory
Experience With Retirement Plans Firm's CRD Number: 148463 Anne Zavaglia Advisor's CRD Number: 7037505 5500 Frantz Road, Suite 153 Dublin, Ohio 43017 614-469-4685 http://www.beaconhilladvisory.com/

States Approved
  • Ohio
Credentials
  • AIF
  • CFA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Bell Wealth Management
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 114259 2901 Bee Cave Road Austin, Texas 78746 512-374-9500 http://www.bellwm.com

Bell Wealth Management designs low-cost 401(k) plans to help companies attract and retain the best employees, while providing maximum deferral benefits to owners and senior management. Our goal is to simplify and democratize the 401k landscape by providing best in class retirement plans to small and medium-size businesses in Central Texas.

States Approved
  • Texas
Credentials
  • CFA
Participant Services
  • Enrollment support - Onsite
Retirement Services
  • 401(k)
Benefits Solutions Group, Inc.
Experience With Retirement Plans Firm's CRD Number: 44848 Bill Cohron Advisor's CRD Number: 1414016 601 Bel-Air Blvd., Ste 101, Mobile, Alabama 36606 (251) 633-401K http://www.bsgplans.com

Consumer Friendly

States Approved
  • Alabama
Credentials
  • AIF
  • Other
Credentials Other Specified PlanSponsor Retirement Professional (PRP), Chartered Retirement Plan Specialist (CRPS)
Participant Services
  • Enrollment support - Onsite
Retirement Services
  • 401(k)
Compensation Structure
  • Commissions
Investments Offered
  • Actively-managed mutual funds
  • Other
Investments Offered Other Described Alternative Investments
Biechele Royce Advisors, Inc.
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 120742 8784 Station Street Fishers, Indiana 46038 317-590-9095 http://www.biechele-royce.com/

Biechele Royce is a full service wealth management firm with over 200 million under management and approximately 400 clients. The firm also serves as a plan advisor for approximately 35 retirement plans.

States Approved
  • Indiana
Credentials
  • Other
Credentials Other Specified MPA
Blue Map Capital
Experience With Retirement Plans Firm's CRD Number: 156328 440 Davis Court, Suite 1615 San Francisco, California 94111 415-999-1940 http://www.bluemapcapital.com

Our model portfolios have, to date, substantially outperformed their Morningstar benchmarks on both an absolute return and net of fees return basis. Our Plans are not "off the shelf;" rather, they are custom built to your needs. We stand behind our Plans, and accept responsibility to serve as the Plan co-fiduciary with the Plan Sponsor. Client rave about access to our personal financial advice. Our fees are fully transparent and modest; and we accept no "soft dollars" or other compensation to offer less than optimal investments. Please see www.bluemapcapital.com and scroll the drop down menus for Testimonials. Thank you.

States Approved
  • California
Credentials
  • Other
Credentials Other Specified BA Yale University, magna cum laude; MS, Economics, JD, UC Berkeley
Participant Services
  • Enrollment support - Onsite
Investments Offered
  • Other
Investments Offered Other Described Sector Funds; Short Strategies; Impact Investments; Income prodcing real estate investments
Blue Ridge Wealth Services
Experience With Retirement Plans Doug Rongo 14 3rd Ave NE, Suite 200 Hickory, North Carolina 28601 828-322-5354

My goal is to work with plan sponsors and participants in a manner that puts their financial interests ahead of everything else.\n\nThis means using cost-effective methods of allocating plan costs, monitoring the investment menu to ensure the investments are "earning their pay," and doing the leg work to keep plan sponsors in compliance with the regulatory maze that seems to grow more complicated on a daily basis.\n\nI closely watch your plan's investment menu, and, depending upon the breadth of the investment menu, may require that plan investment menus change over time.

States Approved
  • North Carolina
Credentials
  • AIF
Blueprint Financial Strategies
Experience With Retirement Plans Firm's CRD Number: 285194 75 Glen Road, Suite 208 Newtown, Connecticut 06482 203-204-6224 http://www.blueprintplanning.org/

Blueprint Financial Strategies ("BFS") is a registered investment adviser offering advisory services in the State(s) of Connecticut and in other jurisdictions where exempted.

States Approved
  • Connecticut
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
BPM Advisors, Inc.
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 164441 60 S. Market, Suite 800 San Jose, California 95113 408-961-6336 http://www.bpmcpa.com

States Approved
  • California
Credentials
  • Other
Credentials Other Specified QPA, QKA, CPC, TGPC, PPC, GFS, CBFA
Branning Wealth Management
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 151988 Jason Branning Advisor's CRD Number: 2955904 400 Fontaine Place, Suite 101 Ridgeland, Mississippi 39157 601-500-7925 info@branwealth.com https://branwealth.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFP
Participant Services
  • Enrollment support - Online
  • Enrollment support - Phone
What plan level services do you offer?
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
Bright Road Wealth Management, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 164408 Brian Pinkston Advisor's CRD Number: 2916032 310 K Street, Suite 200 Anchroge, Alaska 99501 (907) 339-1555 http://www.brightroadwealth.com

Bright Road Wealth Management is an independent, fee-only Registered Investment Advisor.

States Approved
  • Alaska
  • Arizona
  • Hawaii
  • Oregon
  • South Carolina
  • Texas
  • Washington
Credentials
  • AIF
  • CFA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Broad Street Capital Advisors, LLC
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 145460 1550 Timothy Rd., Suite 102 Athens, Georgia 30606 706-208-1166 https://www.bscadvisors.com/

Since inception, Broad Street Capital Advisors has set the standard for investment and fiduciary counsel throughout the Southeastern United States. We take great pride in two characteristics that differentiate our firm from others: absolute absence of the conflicts of interest in money management selection and the highest possible standard of accountability. At Broad Street, we proudly affirm and formerly attest our fiduciary obligation to our clients in providing the highest level of investment advice and fiduciary counsel. We are headquartered in Athens, Georgia and have additional branch office in Macon, Georgia with clients all over the southeast.

Broad Street Capital Advisors, LLC is a Registered Investment Advisor registered with the SEC under the Investment Advisor Act of 1940. As such, we proudly affirm and formerly attest our fiduciary obligation to our clients in providing the highest level of investment advice and fiduciary counsel. Our advisors are equipped with the systems, research and tools to provide clients with the best possible outcome for their needs. Known for combining high quality service within a culture of fiduciary responsibility, BSCA has become one of the region’s leading investment and fiduciary consulting firms. The founding principals of the firm, originally with Shearson Lehman Brothers consulting service group, bring a combined 56 years of experience in the institutional investment consulting arena. At Broad Street, our clients enjoy a consistent and direct relationship with a dedicated service team of professionals.

States Approved
  • Alabama
  • Florida
  • Georgia
  • Hawaii
  • Louisiana
  • North Carolina
  • Oregon
  • Virginia
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Bull Oak Capital
Experience With Retirement Plans Firm's CRD Number: 170325 Ryan Hughes 1350 Columbia St., Suite 401 San Diego, California 92101 619-618-2423 info@bulloakcapital.com https://www.bulloakcapital.com

States Approved
  • California
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Butler Capital Advisors
Experience With Retirement Plans Firm's CRD Number: 39543 Advisor's CRD Number: 2180551 28350 Kensington Lane, Suite 100 Perrysburg, Ohio 43551 (419) 243-9665 info@butlercapital.net http://www.butlercapitaladvisors.com/

States Approved
  • Arizona
  • Colorado
  • Florida
  • Georgia
  • Indiana
  • Louisiana
  • Maryland
  • Michigan
  • New York
  • Oregon
  • Pennsylvania
  • South Carolina
  • Tennessee
  • Virginia
  • Washington
  • Ohio
Calvary Wealth
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 131478 3740 Executive Center Dr Augusta, Georgia 30907 706-855-0170 http://www.calvarywealth.com

Calvary Wealth provides consulting services to 401k plans and assists small and mid size businesses with reviewing their current employer sponsored plans. Many times these plans are sold by investment and insurance companies and typically have high fees, limited and poor investment choices, and little to no education for employees. Some of the services we offer include:\nOverall review of plan design based on the goal and objective you are looking to accomplish\nReviewing your current fund line-up, asset classes, and making recommendations for improvements\nReview of overall plan cost including admin fees, fund fees, and your out of pocket costs\nDeveloping an Investment Policy Statement\nQuarterly fund review to assist you in meeting your fiduciary responsibilities\nEducational presentations for your employees\nAccess to CFP® professionals to answer your employees’ investment related questions throughout the year, not a 1-800 number

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFA
  • CPA
  • PFS
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Calvary Wealth
10 - 20 years Experience With Retirement Plans 1201 Main Street, Suite 1980 Columbia, South Carolina 29201 803-200-1482 http://www.calvarywealth.com/

Calvary Wealth provides consulting services to 401k plans and assists small and mid size businesses with reviewing their current employer sponsored plans. Many times these plans are sold by investment and insurance companies and typically have high fees, limited and poor investment choices, and little to no education for employees. Some of the services we offer include:\nOverall review of plan design based on the goal and objective you are looking to accomplish\nReviewing your current fund line-up, asset classes, and making recommendations for improvements\nReview of overall plan cost including admin fees, fund fees, and your out of pocket costs\nDeveloping an Investment Policy Statement\nQuarterly fund review to assist you in meeting your fiduciary responsibilities\nEducational presentations for your employees\nAccess to CFP® professionals to answer your employees’ investment related questions throughout the year, not a 1-800 number

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CPA
  • PFS
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Cannon Financial Strategists
30 - 35 years Experience With Retirement Plans Firm's CRD Number: 133509 649-8 S. Milledge Ave Athens, Georgia 30605 706-548-3422 http://cannonfinancialstrategists.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • ChFC
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Capital Advisors
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 136983 1505 Mangrum St Pflugerville, Texas 78660 512-231-0890 http://www.capitaladvisors.us

We focus on helping the employer find the best value and provide exceptional support.

States Approved
  • Texas
Credentials
  • Other
Credentials Other Specified RFC CRPC LUTCF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Commissions
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Capital Analysts of New England
10 - 20 years Experience With Retirement Plans 1266 Furnace Brook Parkway Quincy, Massachusetts 02169 617-786-1600 http://www.capitalanalystsne.com

Utilizing an organized process, we focus on the three main pillars of a retirement plan - helping you achieve a desired result of Fiduciary Excellence. \nThe 3 pillars are:\n1. Fiduciary Risk Management\n2. Plan Investment Opportunities\n3. Employee Education Utilizing an organized process, we focus on the three main pillars of a retirement plan - helping you achieve a desired result of Fiduciary Excellence. \nThe 3 pillars are:\n1. Fiduciary Risk Management\n2. Plan Investment Opportunities\n3. Employee Education

States Approved
  • Massachusetts
Credentials
  • AIF
Participant Service Other Described Financial Modeling
CapSouth Partners, Inc.
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 132517 2216 West Main Street Dothan, Alabama 36301 334-673-8600 http://www.capsouth401k.com

As an independent registered investment advisor, CapSouth 401k Consultants provides plan design guidance, investment advisory services, and employee education. We guide you through plan design issues, establishing a plan that is the right fit for your company and your employees. Our staff will help you make sense of the numerous fees involved, and determine the reasonableness of costs associated with your plan. We help you keep abreast of the constant changes in regulatory oversight, and assist with the governmental requirements of fee disclosure to your plan participants. From creation to administration to participant education and communication, CapSouth 401k can help make your corporate retirement plan a successful asset to your business.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • AIF
  • CFA
  • Other
  • CFP
Credentials Other Specified J.D.
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Participant Service Other Described Asset Allocation Modeling
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Capstone Investment Financial Group
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 122575 Ryan Turbyfill Advisor's CRD Number: 6789678 13770 E Rice Pl Aurora, Colorado 80015 303-468-2824 RTurbyfill@CapstoneInvest.com https://www.CapstoneInvest.com

We offer personal service not only to the Sponsors, but also to the Participants. We enjoy educating both the Participants to help them reach their goals. For the Plan Sponsor, we are a partner to lessen their burden and let them do what they do best in their business.

States Approved
  • Colorado
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Cary Street Partners Investment Advisory
Experience With Retirement Plans Firm's CRD Number: 128545 Raymond J. Reibel Advisor's CRD Number: 4232918 901 E. Byrd Street, Suite 1001 Richmond, Virginia 23219 804-616-3415 rreibel@carystreetpartners.com https://carystreetpartners.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
What plan level services do you offer?
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Centurion Advisory Group
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 140605 Randy Brunson Advisor's CRD Number: 1421275 6340 Sugarloaf Parkway, Suite 120 Duluth, Georgia 30097 770-817-0525 clientservices@centurionag.com https://www.centurionag.com

Centurion Advisory Group serves successful individuals and business owners who choose to live on purpose. We bring our perspective and processes to bear on strategies which help them build wealth, transfer assets and values across generations, give to causes meaningful to them and their families, reduce their tax bill, and allow them to invest in ways which align with their values.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • AIF
Participant Services
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(21) investment advisor
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Target Date Funds (TDFs)
Century Wealth Management
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 113769 1770 Kirby Parkway, Suite 117 Memphis, Tennessee 38138 901-850-5532 http://www.centurywealth.com

Century Wealth Management offers Retirement Plan Advisory Services to small and medium size businesses wanting to run their plans more efficiently, reduce expenses, manage their fiduciary liability, achieve better investment results, and increase employee participation.

States Approved
  • Tennessee
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - Model portfolios
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
Investments Offered Other Described We primarily use DFA funds
CFG Wealth Management
Experience With Retirement Plans 8440 SW Canyon Lane Portland, Oregon 97225 503-222-7100 http://www.cfgwealth.com/

Securities and Advisory Services offered through Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser.

States Approved
  • California
  • Colorado
  • Georgia
  • Indiana
  • Nebraska
  • Nevada
  • New Jersey
  • New York
  • Oregon
  • Texas
  • Washington
  • Ohio
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • 403(b)
  • Cash Balance
Compensation Structure
  • Other
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
CG Financial
Experience With Retirement Plans 1927 S. Tryon St, Suite 106 Charlotte, North Carolina 28203 704-373-2525 https://www.mycgfinancial.com/

States Approved
  • Michigan
  • North Carolina
  • South Carolina
Credentials
  • AIF
  • ChFC
  • Other
  • CFP
Credentials Other Specified REBC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Participant Service Other Described Plan benchmarking, plan design, and fiduciary compliance
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Chandeleur Investment Consulting, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 140971 1691 Timber Run Havana, Florida 32333 (850) 591-8140 http://www.chandeleurllc.com

Chandeleur is a private, fee-only financial consulting firm focused on individual wealth management and retirement plan consulting.

States Approved
  • Florida
Credentials Other Specified RIA
Clear Financial Strategies, LLC
Experience With Retirement Plans Firm's CRD Number: 284859 5407 Trillium Blvd, Suite 210 Hoffman Estates, Illinois 60192 855-972-9564 https://clear-fs.com/

States Approved
  • Florida
  • Illinois
Credentials
  • AIF
  • Other
Credentials Other Specified PPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Target Date Funds (TDFs)
Clear Resource Group, LLC
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 304245 Kirk Matteson Advisor's CRD Number: 4819671 9700 SW Capitol Highway, Suite 150 Portland, Oregon 97219 503-227-9800 katkin@clearresourcegroup.com https://www.clearresourcegroup.com

We are a wealth-management firm, based in Oregon, with offices in Portland and Bend, serving individuals, families, business owners, executives and institutions. Our team provides the highest level of service for our local and national clients in financial planning and investment management.

With Clear Resource, we guide business owners through the process of retirement-plan design, installation, and ongoing support. It’s our job to understand the complexities of your situation, and your retirement plan is designed with your personalized goals in mind.

States Approved
  • Oregon
  • Washington
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
What plan level services do you offer?
  • Investment menu selection
  • Quarterly Investment Monitoring
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
ColeFP and Wealth Management, Inc
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 132562 P.O. Box 36608 Birmingham, Alabama 35236 205-477-5118 http://www.colefp.com/

Fiduciary services offering low cost investments, model portfolios, and transparent pricing.

States Approved
  • Alabama
  • Louisiana
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Investment advice - Model portfolios
Participant Service Other Described Annual Employee Education
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • 403(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Colton Groome & Company
Experience With Retirement Plans 1127 B Hendersonville Roa Asheville, North Carolina 28803 828-252-1816 x110 http://www.coltongroome.com/

Colton Groome & Company has been providing trusted financial solutions to business owners, medical professionals, retirees, families and individuals since 1950. Whether you need comprehensive financial guidance, life insurance strategies, corporate retirement plan management or investment advisory services, our team of expert advisors works closely with you to deliver an integrated plan that makes you more confident about your financial future so you can enjoy a better life.

States Approved
  • North Carolina
Credentials
  • CPA
  • CFP
Credentials Other Specified CRPS
Retirement Services
  • 401(k)
Investments Offered
  • Actively-managed mutual funds
Commerce Street Peak Advisors
Experience With Retirement Plans Firm's CRD Number: 144278 1445 Ross Avenue, Suite 2700 Dallas, Texas 75202 214-545-6800 https://www.commercestreetcapital.com/Root/commercestreet/index.asp

Educating plan sponsors and participants on their 401(k) plan is the cornerstone of our organization.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFA
  • CPA
  • Other
Credentials Other Specified CIRA, CVA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Comprehensive Financial Planning LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 128461 Stan Johnson Advisor's CRD Number: 128461 530 Main Avenue, Suite A Durango, Colorado 81301 970-764-0953 http://www.compfinancial.com

We are located in Durango, Colorado and have been independent, fee-only advisors for over 14 years. See our website at www.compfinancial.com for more information.

States Approved
  • Colorado
Credentials
  • Other
Credentials Other Specified Registered Investment Advisor, NAPFA Registered
Participant Services
  • Other
Participant Service Other Described Onsite annual meeting with plan participants.
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
Conestoga Wealth Management
Experience With Retirement Plans Firm's CRD Number: 158981 David A Kring Advisor's CRD Number: 4949862 600 Eagleview Boulevard, #300 Exton, Pennslyvania 19341 (610) 241-8711 info@conestogaplanning.com https://conestogawealthmanagement.com/company-retirement-plans/

States Approved
  • Delaware
  • New Jersey
  • Pennsylvania
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
Participant Service Other Described Educational resources for employees, Investment Policy Statement
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
CPG Wealth
Experience With Retirement Plans 2015 Boundary St Beaufort, South Carolina 29902 843-379-3411 http://cpgwealth.com/

States Approved
  • Georgia
  • North Carolina
  • South Carolina
  • Virginia
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Cross Financial Strategies, LLC
10 - 20 years Experience With Retirement Plans 5646 Milton St, Suite 723 Dallas, Texas 75206 214-484-9476 http://www.crossfinancialstrategies.com

Cross Financial Strategies will help you manage your defined contribution plan and\nmitigate potential fiduciary risk so that you can focus on managing your organization. \n\nOur Retirement Plan Consulting Service can act as a co-fiduciary to your plan. This higher\nlevel of trust, obligation, and responsibility requires us to act in an independent,\nunbiased, and objective manner. We will help you ask the right questions, understand complex fee \nstructures, and implement a formal investment monitoring process.

States Approved
  • Texas
Credentials
  • AIF
  • Other
Credentials Other Specified CRPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
CUBIC Advisors, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 165008 28 So. Waterloo Road, 202 Devon, Pennslyvania 19333 610-788-2142 http://www.cubicadvisors.com/

We believe passionately that a 401(k) plan should provide participants (employees) a chance to retire in dignity and be a benefit in every sense of the word.

States Approved
  • Maryland
  • Pennsylvania
  • Wisconsin
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
CUBIC Advisors, LLC Florida
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 165008 David Pankiw Advisor's CRD Number: 1476226 871 Venetia Bay Boulevard, Suite 202 Venice, Florida 34285 941-218-0830 david.pankiw@cubicadvisors.com https://www.wellenparkfinancialadvisors.com

States Approved
  • Florida
  • Maryland
  • Pennsylvania
Credentials
  • AIF
  • Other
Credentials Other Specified MSFS Master of Science Financial Services
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Cypress Wealth Management, LLC
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 154177 9873 Farmyard Dr Cordova, Tennessee 38016 901-292-3596 http://www.cypresswm.com

We love working with great people, that’s what makes our job fun and exciting! When we partner with you and your organization, we strive to be good stewards and help you and your employees be better prepared for retirement. \n\nCypress Wealth Management is a fee-only firm who serves our clients in a fiduciary capacity. Serving as co-fiduciaries we assume responsibility for many aspects of the plan while helping you stay in compliance with world-class fiduciary standards. \n\nWe are fanatical about controlling and disclosing costs, since you need to know exactly what your retirement plan is costing your company and your employees. \n\nFinally, we a proud to bring the “wealth management experience” to your retirement plan. We build custom plans from an unlimited choice of investment options to help meet your organizations specific needs, just like we do for our private wealth management clients. We provide model portfolios and offer face-to-face, personal guidance to plan participants.

States Approved
  • Tennessee
Credentials
  • AIF
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
Investments Offered Other Described We use DFA and Vanguard funds
Daniel P. Hensley & Co.
10 - 20 years Experience With Retirement Plans 3030 N.W. Expressway, Suite 200 Oklahoma City, Oklahoma 73112 405-787-0065

We work with, and encourage plan sponsors to utilize, when appropriate, professional compliance entities such as those who provide services such as: ERISA \n3(16), 3(21) and \n3(38) services. Additionally we believe strongly in obtaining investment options at the lowest possible cost to plan participants.\nFinally, our services are two-fold, to provide overall design and implementation assistance to plan sponsors and to provide meaningful education and enrollment assistance to participants.

States Approved
  • Oklahoma
Credentials Other Specified CLU
Participant Service Other Described Assist Plan Sponsor in establishment and operation of the plan to include coordination with: Fiduciaries, TPAs, Investment Advisors
Daniell, Upton & Perry
Experience With Retirement Plans 30421 Highway 181 Daphne, Alabama 36526 251-625-0046 http://www.daniellupton.com/

States Approved
  • Alabama
Day & Ennis
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 125549 125 Plantation Centre Drive, Building 400 Macon, Georgia 31210 478-719-9164 http://www.dayandennis.com/

The fact that we operate on a fee-only basis is a major consideration for most clients. This means that at Day & Ennis, you pay no commissions on sales of securities or insurance. Since we have no vested interest in selling you anything, you can count on unbiased financial advice.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CPA
  • PFS
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Direct Retirement Solutions
30 - 35 years Experience With Retirement Plans Firm's CRD Number: 141515 421 Loudon Road Albany, New York 12211 518-362-2119 http://directretirement.net

Direct Retirement Solutions specializes in retirement plan consulting and advisory services always serving as an ERISA fiduciary. Our fully disclosed and transparent fee model with no conflicts of interest puts us on the same side of the table as our clients. We are experts at plan design & management, vendor & platform selection, fiduciary investment managment, fiduciary governance & stewardship and participant education and advice. Everything coordinated by one team - so you know who to count on.

States Approved
  • New York
Credentials
  • QPFC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Domestique Capital LLC
Experience With Retirement Plans Firm's CRD Number: 283046 1413 E 15th St Plano, Texas 75074 214-556-8904 https://domestiquecap.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • Other
  • CFP
Credentials Other Specified RICP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Dorval & Chorne Financial Advisors
5 - 10 years Experience With Retirement Plans 11242 86th Ave N Maple Grove, Minnesota 55369 612-347-8685 http://www.dorvalchorne.com

Specializing in individual participant advice.

States Approved
  • Alabama
  • Minnesota
Duncan Williams Asset Management, LLC
Experience With Retirement Plans Firm's CRD Number: 174809 Hudson Atkins Advisor's CRD Number: 6104672 6263 Poplar Avenue , Suite 300 Memphis, Tennessee 38119 901-435-4276 hudson@dwassetmgmt.com http://www.dwassetmgmt.com/

States Approved
  • Alabama
  • Arkansas
  • California
  • Florida
  • Georgia
  • Idaho
  • Indiana
  • Kentucky
  • Louisiana
  • Mississippi
  • New Mexico
  • North Carolina
  • Pennsylvania
  • Tennessee
  • Texas
  • Virginia
  • Ohio
Credentials
  • CFA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
East Franklin Capital
Experience With Retirement Plans Firm's CRD Number: 164921 Luke Wolf Advisor's CRD Number: 6880231 1805 East Franklin Street, Ste 100 Chapel Hill, North Carolina 27514 919-360-2537 https://www.eastfranklincapital.com

States Approved
  • North Carolina
Credentials
  • CPA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • 403(b)
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Efficient Market Advisors
Experience With Retirement Plans Firm's CRD Number: 132188 4180 La Jolla Village Drive, Suite 315 La Jolla, California 92037 (858) 847-0690 http://www.efficient-portfolios.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFA
Participant Services
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Exchange Traded Funds (ETFs)
EisnerAmper Wealth Management & Corporate Benefits
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 121863 Michael Abate, AIF, CRPS Advisor's CRD Number: 2315733 111 Wood Avenue, Suite 110 Iselin, New Jersey 08830 (908) 595-6436 mabate@eawmcb.com https://www.eisneramperwmcb.com

At EisnerAmper Wealth Management & Corporate Benefits’ (EAWMCB) our top priority is helping you pursue retirement plan success by aligning your corporate culture to your retirement plan. We go beyond “usual” by implementing our Corporate Advocacy Retirement Experience (CARE). CARE is a proprietary fiduciary compliance system that sets a higher standard of oversight and customization for your retirement plan.

States Approved
  • Connecticut
  • Florida
  • New Jersey
  • New York
  • Pennsylvania
Credentials
  • AIF
Credentials Other Specified CRPS
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Other
Participant Service Other Described Financial Planning & Wealth Management
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • ERISA 3(16) plan administrator
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
encore401(k)
5 - 10 years Experience With Retirement Plans 8200 Greensboro Drive, Suite 1150 McLean, Virginia 22102 (571) 405-3716 http://www.encore401k.com

States Approved
  • Colorado
  • Delaware
  • Maryland
  • New Hampshire
  • Pennsylvania
  • Virginia
Credentials
  • AIF
  • CFP
Credentials Other Specified MBA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described one-on-one participant guidance and education, rollover assistance, resource for general plan questions
Plan Sizes
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
Investments Offered Other Described We use an evidence-based investment philosophy and create lineups and models that reflect a low-cost, diversified approach.
Envision Asset Management
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 148451 1856 N Nob Hill Road, Suite 219 Plantation, Florida 33322 (954) 288-1193 http://envisionco.net

Envision Asset Management is a Registered Investment Advisor in Plantation, Florida. We provide high level investment services for corporate executives, professionals, business owners, retirees and others. Our aim is to preserve and build your wealth by managing risk and optimizing returns. Our only loyalty is to you, our client, and we provide full disclosure of any conflicts. We act as a fiduciary.

States Approved
  • Florida
Participant Services
  • Enrollment support - Onsite
Retirement Services
  • 401(k)
ESI Financial Services, Inc.
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 149082 3755 Avocado Blvd., P.O. Box 523 La Mesa, California 91941 (619) 328-5054 http://esifinancialservices.com

ESI Financial Services provides comprehensive financial planning, tax and investment advisory services for individuals, families and small businesses.

States Approved
  • California
Etzler Financial Advisors, LLC
Experience With Retirement Plans Firm's CRD Number: 134022 Matthew R. Etzler Advisor's CRD Number: 1283701 819 Jefferson Street, PO Box 100 Red Bluff, California 96080 877-389-5373 info@etzlerfinancial.com https://www.etzlerfinancial.com/

States Approved
  • California
Credentials
  • CFP
Credentials Other Specified CRC, CRPS, ChFEBC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • 403(b)
  • Governmental 457(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
  • Other
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Everhart Advisors
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 107091 5890 Venture Dr., Suite D Dublin, Ohio 43017 614-717-9705 http://www.everhartadvisors.com

Everhart Advisors is a corporate retirement plan consulting and investment advisory firm focused on helping employers build, maintain, and enhance 401k plans. As a trusted co-fiduciary, we define success as participants achieving retirement preparedness, while limiting the liability exposure to the plan sponsor. We deliver a comprehensive suite of services including: fiduciary compliance, investment due diligence, participant education and advice, plan design, cost control, and fee transparency. It is our mission to help people achieve financial security.

States Approved
  • Ohio
Credentials
  • AIF
  • Other
  • CFP
Credentials Other Specified CEPA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Commissions
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Everspire
Experience With Retirement Plans Firm's CRD Number: 222515 9125 Monroe Plaza Way, Suite A Sandy, Utah 84070 801-545-8706 https://www.everspire401k.com/

Everspire helps business owners optimize their company’s retirement plan. We will evaluate your current 401(k) plan, help you understand your duty as a fiduciary, and suggest changes that will reduce your liability and make your plan more ethical and affordable.
High cost plans with poor investment options put employers at risk. It is not unusual to see funds that are 15 - 20 times more expensive than quality alternatives. We are often able to cut overall costs by more than 50% and return that money to you and your employees. In the process we also improve the quality of the investment choices and remove conflicts of interest and risk to your company.
After onboarding, we continue to monitor plan costs, review investment options quarterly, educate employees through presentations and one-on-one meetings, and make ourselves available to answer employees’ investment questions throughout the year.
Contact us and we will help you turn your company’s retirement plan from a distraction into a tool that drives recruitment and retention.

States Approved
  • California
  • Idaho
  • Utah
Credentials
  • Other
  • CFP
Credentials Other Specified MBA and Graduate Certificate in Financial Planning
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Evolution Advisers
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 149615 15521 Midlothian Turnpike Midlothian, Virginia 23113 804-794-1981 x4 http://www.EvoAdvisers.com

States Approved
  • Virginia
Credentials
  • AIF
  • Other
  • CFP
Credentials Other Specified MBA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Fairview Financial, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 122287 6100 Fairview Rd, Ste 1210 Charlotte, North Carolina 28210 704-674-5804 http://fairviewfinancial.com

Please refer to our website fairviewfinancial.com

States Approved
  • North Carolina
Fearheller Advisors
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 133010 78228 Allegro Drive Palm Desert, California 92211 760-766-2084 http://www.fearhelleradvisors.com

We are a small firm dedicated to providing professional and cost effective advice to our clients.

States Approved
  • California
Credentials
  • CPA
  • Other
Credentials Other Specified Registered Investment Advisor, MBA in Finance
Participant Services
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Other
Investments Offered Other Described Cash Secured Put Option Portfolios, Covered Call Option Portfolios
Fiduciary Wealth Management, LLC
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 157290 4604-H Pinecrest Office Park Drive Alexandria, Virginia 22312 703-242-1231 http://www.fidwealthman.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Financial Avenues, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 153458 10133 N Lane Dr Kansas City, Missouri 64157 913-735-7283 http://www.myfinancialavenues.com

Your retirement plan and participants should have an objective, un-biased advisor who has had 18 years in the industry working for a mutual fund company, regional bank and retirement consulting firm. Your needs for the plan are reviewed, along with fees, investments and education on the plan sponsor and employee level.

States Approved
  • Kansas
  • Missouri
Credentials
  • Other
Credentials Other Specified M.S. and Chartered Retirement Plan Specialist (R), Retirement Income Certified Professional or RICP®
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
First Bankers Trust Services, Inc.
10 - 20 years Experience With Retirement Plans First Bankers Trust Services, Inc. 10 - 20 years Experience With Retirement Plans 2321 Kochs Lane Quincy, Illinois 62305 217-221-8657 https://www.fbtservices.com/

First Bankers Trust Services, Inc has over 50 years of experience as a trustee and advsior in providing employee benefit services to plan sponsors nationwide. We tailor our services to your plan, as every plan is different. Let us guide you through complex issues and rules.

States Approved
  • Illinois
Credentials
  • AIF
Investments Offered Other Described Collective Investment Trusts
FixedFee401k
Experience With Retirement Plans 6800 College Boulevard, Suite 630 Overland Park, Kansas 66211 913-827-9952 http://www.fixedfee401k.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described No charge participant financial planning
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 409(A)
Compensation Structure
  • Fee Only - Fixed Amount
  • Other
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Fleming Capital Partners
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 154455 1500 S 70th Street, Suite 104 Lincoln, Nebraska 68506 312-256-9971 http://www.investfcp.com

Fleming Capital Partners is an independent investment advisory and retirement plan consulting firm. We are headquartered in Lincoln, Nebraska with offices in Chicago, IL. \n\n"Our mission is to continually increase the wealth of our partners while managing the risks inherent in the pursuit of these interests… We seek these opportunities with determination, passion and discipline."

States Approved
  • Colorado
  • Florida
  • Georgia
  • Illinois
  • Nebraska
Credentials
  • CPA
Credentials Other Specified CFE, CAMS
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Governmental 457(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
FNJ 3, LLC
30 - 35 years Experience With Retirement Plans Firm's CRD Number: 149809 207 N. View Terrace Alexandria, Virginia 22301 703-836-3653

Single employee business

States Approved
  • Alabama
  • Florida
  • Georgia
  • Maryland
  • North Carolina
  • South Carolina
  • Tennessee
  • Texas
  • Virginia
Credentials
  • CFP
Participant Services
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Focus Pointe Financial, LLC
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 148114 Lance R. Ray Advisor's CRD Number: 3066927 704 Streamwood Drive Holly Springs, North Carolina 27540 919-805-3255 lance.ray@focuspointefinancial.com www.focuspointefinancial.com

Special focus on 401k plan design and support for professionals and owners of privately held companies.  With the proper planning and customized plan provisions, business owners can maximize the plan benefits provided to them.

States Approved
  • Alabama
  • Florida
  • Georgia
  • Michigan
  • North Carolina
  • South Carolina
  • Tennessee
  • Ohio
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
What plan level services do you offer?
  • Investment menu selection
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Fortress Investment Advisors, LLC
Experience With Retirement Plans Firm's CRD Number: 143969 4640 E Sunrise Dr, Suite 211 Tucson, Arizona 85718 520-751-8600 https://www.fortresscompany.com/

States Approved
  • Arizona
Participant Services
  • Investment advice - Model portfolios
Plan Sizes
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
Fragasso Financial Advisors
Experience With Retirement Plans Firm's CRD Number: 123255 610 Smithfield Street Pittsburgh, Pennslyvania 15222 412-227-3249 http://www.fragassoadvisors.com/

Fragasso Retirement Plan Advisors focuses exclusively on employer-sponsored retirement plans. We deliver comprehensive plan objectives. As a fiduciary consultant, the guidance that we provide to plan participants and sponsors takes a complex world and it makes it easy to understand without concern for proprietary products or guidance that does not fit your organization’s goals.

States Approved
  • Delaware
  • Florida
  • Pennsylvania
  • Texas
  • Virginia
  • West Virginia
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Commissions
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Frugal Financial
Experience With Retirement Plans Firm's CRD Number: 168390 250 State Street Mobile, Alabama 36603 251-581-8629

States Approved
  • Alabama
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
Full Spectrum Wealth
Experience With Retirement Plans 3920 Birch Street, Suite 103 Newport Beach, California 92660 949-476-4585 http://fswealth.com/new/fullspectrumwealth/

States Approved
  • California
  • Nevada
Credentials
  • Other
Credentials Other Specified J.D.
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Ganim Financial
30 - 35 years Experience With Retirement Plans Firm's CRD Number: 285679 Robert Lockery Advisor's CRD Number: 2687139 2 Enterprise Drive Shelton, Connecticut 06484 203-335-0851 https://www.ganimfinancial.com

States Approved
  • Connecticut
  • New York
Credentials
  • AIF
Participant Services
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Custom
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Gap Financial Services
Experience With Retirement Plans Firm's CRD Number: 288703 Jarrod Winkcompleck Advisor's CRD Number: 3127068 2707 Barton Point Dr. Austin, Texas 78733 512-745-4191 jarrod@gapfinancialservices.com https://gapfinancialservices.com/

States Approved
  • Texas
Credentials
  • ChFC
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Garnett Retirement Group
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 172011 Todd Sink Advisor's CRD Number: 4635245 601 93rd Avenue North St. Petersburg, Florida 33702 813-390-7593 todd@garnettretirement.com https://www.garnettretirementgroup.com

We work with small businesses, professionals, high net worth individuals and corporate employers to develop a comprehensive, custom-built strategy to help them pursue their financial goals.

States Approved
  • Florida
  • Kentucky
  • North Carolina
  • South Carolina
  • Virginia
Credentials
  • AIF
  • ChFC
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Target Date Funds (TDFs)
Gerstemeier Financial Group, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 127052 4300 Commerce Ct., Suite 300-22 Lisle, Illinois 60532 630-420-6601 http://www.g-fg.com/

Gerstemeier Financial Group, LLC offers financial planning, investment management, and income tax preparation services for individuals, small businesses, charities, and corporate retirement plans. The firm was created to provide customized solutions to meet the goals and objectives of our clients. We recognize that in today's fast paced and complex world, there are no easy solutions to the concerns and issues we face in our financial lives.\nUnlike most financial advisory firms, we work on a Fee-Only basis. We receive no commissions or other types of compensation for any investment, insurance, or other financial products we recommend to our clients. We believe financial advisors that are compensated by commissions from product sales have an inherent conflict of interest.

States Approved
  • Illinois
  • Ohio
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Glasgow Partners, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 139607 PO Box 2283 Boothwyn, Pennslyvania 19061 610-494-1322 http://www.glasgowpartners.com

Glasgow Partners, llc is a unique investment advisory firm that specializes in fixed income and self-directed 401k retirement plans, primarily for credit unions and small to mid-sized businesses. Our advisers work closely with clients to build effective portfolios and diversified fund offerings for their plans.

States Approved
  • Pennsylvania
Credentials
  • Other
Credentials Other Specified RIA / IAR
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • 403(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
GLOBAL WEALTH MANAGEMENT
Experience With Retirement Plans Firm's CRD Number: 167025 334 E Coast Hwy, #101 Corona Del Mar, California 92625 949-436-9518 http://gwmllc.com/

States Approved
  • California
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Gold Medal Waters, Inc.
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 132294 4551 13th Street, Unit C Boulder, Colorado 80304 720-887-1299 http://www.goldmedalwaters.com

Gold Medal Waters is an independent fee-only financial planner and registered financial advisory firm that has developed a specialty in serving the unique challenges and goals of medical professionals and their families - such as physicians and dentists - as well as clients who have significant assets and complex planning needs.

States Approved
  • Colorado
  • Illinois
Credentials
  • AIF
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Green Retirement, Inc.
Experience With Retirement Plans Timothy R. Yee Advisor's CRD Number: 2492578 909 Marina Village Parkway, #587 Alameda, California 94501 510-638-6331 timothy@greenretirement.com https://www.greenretirement.com

States Approved
  • California
  • Connecticut
  • Delaware
  • Florida
  • Idaho
  • Maryland
  • Minnesota
  • New Jersey
  • New York
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • Tennessee
  • Texas
  • Vermont
  • Virginia
  • Washington
Credentials Other Specified CKP, CPFA, CHSA, NQPA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Greenbush Financial Group
Experience With Retirement Plans Firm's CRD Number: 125500 75 Troy Road East Greenbush, New York 12061 518-477-6686 http://www.greenbushfinancial.com

States Approved
  • New York
Credentials
  • Other
  • CFP
Credentials Other Specified QKA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Greenlight Retirement Plan Consultants LLC
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 299668 Ian Green, CFA Advisor's CRD Number: 2532230 55 Longlane Rd West Hartford, Connecticut 06117 (860) 461-1124 info@greenlightrpc.com https://www.GreenlightRPC.com

Greenlight Retirement Plan Consultants is dedicated exclusively to helping retirement plan administrators and plan fiduciaries (our clients). We analyze, create, implement, provide on-going investment due diligence and cost monitoring services, educate, and advise employers on their employees' retirement plan. That is our expertise and it is all we do. As co-fiduciaries, we always act in the best interest of plan participants and strive to save our clients time and money.

We start by doing a thorough and complimentary cost and investment analysis of your organization's current plan. After we present our findings, you can then decide if you would like to hire us as your ongoing consultant.

As the former Director of Investment Strategies of one of the country's largest retirement plan providers, our founder, Ian Green, CFA, has analyzed and created hundreds of investment menus for clients large and small all over the country. Please visit our website for a better understanding of our background and experience.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFA
  • Other
Credentials Other Specified MSF
Participant Services
  • Enrollment support - Onsite
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Group Meetings
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Greenspring Advisors, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 132669 501 Fairmount Avenue, Suite 102 Towson, Maryland 21286 443-564-4600 www.greenspringadvisors.com

Companies hire us to build a retirement plan they’re proud of and that their employees love. We do it by providing (k)larity® to help plans make better fiduciary decisions so they’re confident they’re doing the best possible job for employees who depend on them for retirement security. (k)larity® creates confidence that allows you to focus on your business, not your plan, through three disciplines:

1. Fiduciary oversight A comprehensive fiduciary process helps your company avoid potential litigation, going beyond investments to include committee oversight, fiduciary training, fees, plan design, and vendor management. Proprietary tools and methodologies, (k)larity Quotient®, Fiduciary U™ and FeeMetri(k)s™, help you identify and correct shortcomings in your plan. Extensive experience with compliance and ERISA matters helps us advise clients on a broad range of technical issues. We also commit to an annual plan review to ensure you’re on track to meet your goals, that the strategies to achieve them are still working, and that the measures of success we’ve defined together are still relevant.

2. Service by an experienced, credentialed team We have six CFP®, four AIF®, two CRPS® and a CFA on staff. You can be confident your questions will be answered and your issues resolved by knowledgeable people with the facts. You won’t be left uncovered because we assign multiple professionals to your account, all of who know and understand your plan. Our focus on corporate retirement plans gives us huge opportunities to learn; we know what works and what doesn’t. It adds up to satisfied clients. In 2018 we were a PLANADVISER Top 100 Retirement Plan Adviser for the second time and named the 2018 PLANSPONSOR Retirement Plan Adviser of the Year Award in the Small Team category. A client was also one of three finalists for PLANSPONSOR 2018 Plan Sponsor of the Year.

3. Personalized participant advice We act as a fiduciary to your employees, always working in their best interest and giving them unbiased, objective advice. Your employees have access to a CFP® as their dedicated point of contact. S/he gets to know your employees and can respond quickly to questions or issues. We also address individual participants, document interactions to provide fiduciary protection, and help improve participant outcomes with four powerful digital planning tools: an easy-to-use budgeting tool, a debt management tool, a robust retirement analysis and stress testing tool, and a risk analytics platform.

States Approved
  • Delaware
  • Georgia
  • Maryland
  • New Jersey
  • New York
  • North Carolina
  • Pennsylvania
  • Virginia
  • Washington
  • West Virginia
Credentials
  • AIF
  • CFA
  • CFP
Participant Services
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Griffin Financial Planning, LLC
Experience With Retirement Plans Firm's CRD Number: 170930 132 Chief Justice Crushing Hwy, Old Colony Square, Suite #70 Cohasset, Massachusetts 02025 781-591-PLAN http://www.griffinfinancialplanning.com/

States Approved
  • Massachusetts
Credentials
  • AIF
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Guncheon Financial, LLC
Experience With Retirement Plans Firm's CRD Number: 277091 Kelly Guncheon Advisor's CRD Number: 5081486 3525 Plymouth Blvd., Suite 109 Plymouth, Minnesota 55447 952-449-4467 kelly@guncheonfinancial.com https://www.GUNCHEONFINANCIAL.com/

States Approved
  • Minnesota
Credentials
  • ChFC
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Participant education meetings
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Guzzetta Financial Associates
Experience With Retirement Plans 13 Genesse St., PO Box 564 Greene, New York 13778 607-216-9430 http://www.guzzettafinancial.com/

Our primary business is serving our 401k/profit sharing plan clients and participants. Approximately 85% of our business is related to 401k/profit sharing plans. We pride ourselves in bringing the company sponsored retirement plan directly to the participants in a cost-effective way.
We aid the plan sponsor in the establishment of new plans and amendments and help in the ongoing monitoring of plan investments for existing plans. We assist the individual participants in making the proper choices for investment allocation and deferral amounts; and in the one-on-one periodic review of their retirement account, to help them toward their retirement goals. We aim to create a long-term relationship as their trusted advisor.

Securities and Advisory Services offered through Cadaret, Grant & Co., Inc. Member FINRA/SIPC. Guzzetta Financial Associates and Cadaret, Grant are separate entities.

States Approved
  • California
  • Florida
  • Maryland
  • New Jersey
  • New York
  • Pennsylvania
  • Virginia
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Ongoing Investment Advice- Onsite
Retirement Services
  • 401(k)
  • Profit sharing only
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Hardy Reed, LLC
Experience With Retirement Plans Firm's CRD Number: 141024 101 S. Front St. Tupelo, Mississippi 38804 662-823-4722 http://www.hardyreed.com

It’s always about the people. That’s what most exciting. We get to partner with great people and organizations who want to be good stewards and help their employees be better prepared for retirement.\nHardy Reed is a CEFEX Certified, independent, fee only, SEC registered fiduciary consultant and retirement plan services firm providing - Objective Fiduciary Guidance. Our team of fiduciary consulting and retirement plan services professionals provides objective guidance to institutions such as retirement plan administrators. \nHardy Reed has earned the Centre for Fiduciary Excellence (CEFEX) Certification. According to CEFEX, "Hardy Reed is among the first Investment Advisors globally to successfully complete the independent certification process. Through CEFEX's independent assessment, the certification provides assurance to investors that Hardy Reed has demonstrated adherence to the industry's best fiduciary practices. This indicates that Hardy Reed's interests are aligned with those of investors." \nThe Retirement Plan Services Division provides consulting services to Retirement Plan Sponsors assisting them with their plan fiduciary governance including plan fee benchmarking, investment, and service provider selection and monitoring. Hardy Reed's Fiduciary Assessment provides evidence of how well an investment steward demonstrates organizational conformity with the Global Standards of Fiduciary Excellence as established by the Center for Fiduciary Studies.

States Approved
  • Mississippi
Credentials Other Specified PPC
Participant Services
  • Other
Participant Service Other Described Participant investment education strategy and enrollment strategy for the plan sponsor
Retirement Services
  • 401(k)
Investments Offered
  • Other
Investments Offered Other Described Target Risk Funds
Harvest Financial Partners
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 146162 159 W. Lancaster Ave, Suite Three Paoli, Pennslyvania 19301 610-240-4740 http://www.HarvestFP.com

Harvest can serve as the investment advisor for your 401k plan. In this role, we can assist your management team with its fiduciary responsibilities by providing advice on fund options. Because we are completely independent, we have no limitations on finding and recommending what we determine are the best options for your plan. Additionally, because our compensation is not tied to selling any products, you can be assured that our advice will be free of any conflict and be solely based on what we conclude is best for the company and its employees.\n\nHarvest can also provide advice to the plan participants. For many individuals, their 401k balance represents one of their largest assets, yet they are often not provided with specific, actionable advice. Harvest believes everyone should receive the support they need to make the most out of their 401k investment.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFA
  • Other
  • CFP
Credentials Other Specified JD
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • 403(b)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Heber Fuger Wendin, Investment Advisors
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 105668 36700 Woodward Avenue, Suite 201 Bloomfield Hills, Michigan 48304 248-258-6866 http://www.heberinvestments.com

Heber Fuger Wendin is an independent, fee-only financial advisor and investment counsel firm founded in 1934 with $4.6 billion in assets currently under management. Heber is one of the oldest, most well-established SEC-registered investment advisory firms in the United States.

States Approved
  • Michigan
Credentials
  • Other
Credentials Other Specified JD, Series 65
Retirement Services
  • 401(k)
Heritage Wealth Management
Experience With Retirement Plans Firm's CRD Number: 122394 4400 Post Oak Parkway, Suite 2510 Houston, Texas 77027 713-871-9800 http://www.heritageplanners.com

States Approved
  • Florida
  • New Jersey
  • New York
Credentials
  • AIF
  • Other
  • CFP
Credentials Other Specified RLP
Retirement Services
  • 401(k)
HFA401K™
Experience With Retirement Plans 1680 Route 23, Suite 210 Wayne, New Jersey 07470 973-557-2933 info@highlandplanning.com http://www.hfa401k.com

States Approved
  • New Jersey
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
HHM Wealth Advisors, LLC
35+ Experience With Retirement Plans Firm's CRD Number: 150843 Andrew Cook Advisor's CRD Number: 6035278 1200 Market Street Chattanooga, Tennessee 37402 423-933-1825 acook@hhmwealth.com https://hhmwealth.com//

HHM Wealth engages business owners, plan sponsors and plan trustees to help design, implement and manage their company’s 401(k) / Profit Sharing retirement plan. The primary goal of this engagement is to ensure the plan design is optimally positioned for the changing workforce while maintaining ERISA compliance. HHM Wealth brings more than 40 years’ of experience in Retirement Plan Consulting to bear for clients including the CFP® and AIF® (Accredited Investment Fiduciary). A general outline of the services HHM Wealth provides can be found on our website.

States Approved
  • Alabama
  • Florida
  • Georgia
  • North Carolina
  • Tennessee
  • Texas
  • Virginia
Credentials
  • AIF
  • CFP
Participant Services
  • Enrollment support - Onsite
Participant Service Other Described Wellness & Education Programs
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
  • Other
Investments Offered Other Described Collective Investment Trusts (CITs)
Illumination Wealth Management
5 - 10 years Experience With Retirement Plans 8400 Miramar Rd., Suite 203A San Diego, California 92126 858-246-6855 http://www.illuminationwealth.com

We help clients utilize their unique resources to live their best financial life

States Approved
  • California
  • Illinois
  • Minnesota
  • New York
  • Texas
Credentials
  • Other
Participant Services
  • Enrollment support - Onsite
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Insight Financial Solutions / LPL Financial
Experience With Retirement Plans 2793 Skyline Court, Suite D Grand Junction, Colorado 81506 970-986-4503 http://www.investindependently.com/

States Approved
  • Arizona
  • California
  • Colorado
  • New Mexico
  • Utah
  • Wyoming
Credentials
  • Other
Credentials Other Specified PPC, CPFA, LUTCF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Inspired Financial Planners, LLC
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 305122 Tricia Kollath Advisor's CRD Number: 5512242 P.O. Box 698 Ocean Springs, Mississippi 39566 228-200-8750 tkollath@inspiredfin.com https://www.inspiredfin.com

Inspired Financial Planners helps small and medium-sized businesses start and maintain their employer-sponsored retirement plan. We offer customized services tailored to meet your specific needs. Our services are always provided with the experience and expertise of a CFP professional, some of which include:

  • We act as a liaison between all moving parts of the plan - Plan Sponsor, TPA, Recordkeeper, custodian, payroll provider, CPA, etc.
  • Meet with participants individually at least twice per year on-site or virtually
  • Provides general financial & investment education to participants on an as needed basis
  • Manages investment options within the plan
  • Keeps up with participant eligibility
  • Notifies newly-eligible participants and enrolls in the plan
  • Sends out required annual notices to participants
  • Conducts periodic contribution review
  • Provides guidance to Plan Sponsor
  • Meets with Plan Sponsor annually to review investments and plan design
  • Facilitates participant distributions
  • Rebalances participant accounts upon request
  • Follows up with TPA/Recordkeeper on outstanding items
  • Stays current on new laws and regulations
States Approved
  • Louisiana
  • Mississippi
  • North Carolina
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
Integra Wealth LLC
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 149999 David A. Hodges Advisor's CRD Number: 4508507 871 McCallie Ave., Ste. 100 Chattanooga, Tennessee 37403 423-664-0344 david@integrawealth.com https://www.integrawealth.com

States Approved
  • Alabama
  • Georgia
  • Tennessee
Credentials
  • CFP
Participant Services
  • Enrollment support - Online
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Integrated Financial Planning Solutions, LLC
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 153824 203 South Main St., Suite 2A Goshen, Indiana 46526 574-975-3682 http://www.integratedfps.com

I have nearly 40 years of experience in the financial services industry

States Approved
  • Indiana
Credentials
  • ChFC
  • Other
  • CFP
Credentials Other Specified Specified Chartered Life Underwriter (CLU)
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
Compensation Structure
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Integrity Capital Mangement
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 142693 444 Clinchfield St Ste 302 Kingsport, Tennessee 37660 423-230-4500 http://www.retirewithicm.com

ICM will serve as a fiduciary…we assume responsibility for many\naspects of the plan and bring it into compliance with world-class\nfiduciary standards.\n We control and disclose costs...employers need to know exactly\nwhat their retirement plan benefit costs the company and its\nemployees.\n We give face-to-face, personal guidance to plan participants...\nnot once a year, not quarterly, but ongoing and as needed.\n We custom-build plans...from an unlimited choice of investment\noptions to meet the company’s specific needs.\n We employ a rigorous due diligence process...to select and monitor\nfunds within the plan.\n We provide local support...from enrolling new employees to\nanswering day-to-day questions.

States Approved
  • North Carolina
  • Tennessee
  • Virginia
Credentials
  • AIF
  • Other
  • CFP
Credentials Other Specified CRPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Investors Asset Management
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 106796 7000 Peachtree Dunwoody Road, Bldg. 9, Suite 200 Atlanta, Georgia 30328 770-394-5619 http://www.investorsassetmanagement.com

The Investors CHOICE 401(k) Program was designed and developed by Investors Asset Management of Georgia, Inc., a Registered Investment Advisor since 1988. Our program is the Plan Sponsor’s trend-setting solution for simplifying and modernizing existing corporate 401(k) plans.

As a Registered Investment Advisor, we become a either a 3(21) or a 3(38) fiduciary with the Plan Sponsor and thus reduce Plan Sponsor fiduciary liability.

Investors CHOICE 401(k) suggests a unique fund lineup composed primarily or entirely of low-cost index funds and ETF's because we believe their use leads to significantly enhanced participant returns. Fees and expenses are fully disclosed and do not include revenue sharing or 12b-1 fees, thus reducing the occurrence of prohibited transactions or conflicts of interest.

We manage five risk-based portfolios composed of name-brand index funds and ETF's for those participants that wish to have their funds managed for them. These portfolios have a very strong track record over the last eight+ years.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described 5 Target Risk Portfolios composed of low-cost index funds and ETF's with 9 year track record.
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • 403(b)
  • Taxexempt 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
iQ401k
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 117499 Virajith Wijeweera Advisor's CRD Number: 5611570 3525 North Causeway Blvd., Suite 633 Metairie, Louisiana 70002 888-401k-375 Info@iQ401k.com https://www.iQ401k.com

We are a SEC-registered fee-only RIA that offers a true “open architecture” 401(k) platform. Our services include ERISA Fiduciary investment management, plan design, participant support, and Plan Sponsor support. Our fee structure was designed with plan participants in mind. We charge a flat-fee per participant fee and NOT a percentage of assets under management.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
  • Other
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Iron Horse Wealth Management
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 165164 Greg Hayes Advisor's CRD Number: 6588892 8711 Windsor Pkway Unit 4 Johnston, Iowa 50131 515-249-3729 ghayes@ironhorsewm.com https://www.ironhorsewm.com

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Jackson Financial Management
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 108029 151 Kalmus Drive, Suite H-7 Costa Mesa, California 92626 714-434-6900 http://jfmcorp.com/

Jackson Financial Management is a Financial Planning Company that also provides retirement plan consulting and investment advisory services. Our sponsors' plans range in size from 50 employees to over 200, with plan assets exceeding $20MM. Plans include straight 401(k) plans to more complex, new comparability plans and those that include profit sharing and cash balance options. We are client service focused and provide one-on-one meetings with participants, whether line-workers or executive management.

States Approved
  • California
Compensation Structure
  • Other
Jim MacKay Financial Planning
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 169583 3039 S Fort Ave, Suite A Springfield, Missouri 65807 417-268-9191 http://www.mackayfinancialplanning.com

Jim MacKay Financial Planning was built from the ground up with you in mind.\nWe want to be easy to work with. \nTo do this we:\nMake our services available to anyone, regardless of their net worth or investment portfolio. \nUse the latest technology so we can work with you from just about anywhere. \nUse a simple and straightforward fee structure\nEnjoy teaching as much as you want to learn.\nAlways speak to you in plain English.

States Approved
  • Missouri
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • 403(b)
Compensation Structure
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Target Date Funds (TDFs)
Kane Investment Management Inc.
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 127337 15466 Los Gatos Boulevard, Suite 213 Los Gatos, California 95032 800-644-5263 http://www.kaneinvestment.com/

We are an asset based - fee only investment adviser.

States Approved
  • California
Credentials
  • Other
Credentials Other Specified Investment Advisory Representative
Participant Services
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Portfolio Management
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Target Date Funds (TDFs)
KerberRose Wealth Management, LLC
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 168787 115 E Fifth Street Shawano, Wisconsin 54166 715-524-6626 http://www.kerberrosewealth.com

Tony is President of KerberRose Wealth Management, LLC. Tony specializes in private and public sector retirement plans (401(k), 403(b), 457, etc.). In addition, KerberRose Wealth Management, LLC provide investment management services for individuals, non-profits and corporations.

States Approved
  • Wisconsin
Credentials
  • Other
Credentials Other Specified CRPS
Compensation Structure
  • Commissions
Keshemberg Advisory, Ltd
10 - 20 years Experience With Retirement Plans 701 Fourth Avenue South, Suite 1500 Minneapolis, Minnesota 55415 920-205-4381 http://www.keshemberg.com/

Ryan Keshemberg, CFP is founder of Keshemberg Advisory. An independent flat fee financial planning company helping dentists and physicians nationwide navigate the financial world. Ryan strives to make the most of his time and can be found traveling the world, lecturing about personal finance, and trying to keep life simple.

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
Compensation Structure
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Keystone Financial Group, Inc.
Experience With Retirement Plans Firm's CRD Number: 129301 6849 Peachtree Dunwoody Rd, Building B2 Atlanta, Georgia 30328 770-698-9816 http://keystonefg.com/

States Approved
  • Alabama
  • Georgia
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Leavell Investment Management, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 107890 2712 18th Place South, Birmingham, Alabama 35209 (205) 588-2177 http://www.leavellinvestments.com/

States Approved
  • Alabama
  • Florida
  • Georgia
  • Louisiana
  • Mississippi
  • Texas
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
What plan level services do you offer?
  • Investment menu selection
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Leavell Investment Management, LLC
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 107890 210 St. Joseph Street Mobile, Alabama 36602 (251) 434-2521 http://www.leavellinvestments.com/

States Approved
  • Alabama
  • Florida
  • Georgia
  • Louisiana
  • Mississippi
  • Texas
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Lewer Financial Advisors
Experience With Retirement Plans Greg Addison 9900 W. 109th, Suite 200 Overland Park, Kansas 66210 (816) 360-7942 GAddison@Lewer.com https://www.lewerfinancialadvisors.com

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Litovsky Asset Management
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 147647 1715 Towering Oak Dr, Sarasota, Florida 34232 508-292-8380 http://litovskymanagement.com/

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • Other
Participant Services
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
  • Other
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
LPL Financial
Experience With Retirement Plans Firm's CRD Number: 6413 David Duncan Advisor's CRD Number: 6027905 1117 Perimeter Center West , Suite E201 Atlanta, Georgia 30338 678-578-6109 david.duncan@lpl.com https://www.montereywealth.com

States Approved
  • Florida
  • Georgia
  • Missouri
  • Ohio
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $1M - $5M
Retirement Services
  • 401(k)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Majors & Mondragon
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 282477 118 Vintage Park Blvd. #W-452, Houston, Texas 77070 888-215-5888 ext. 5 http://www.mm-retirement.com

States Approved
  • Texas
Credentials
  • Other
  • CFP
Credentials Other Specified RICP, CLU, CLF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
McGervey Wealth Management
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 151969 6263 Frank Avenue, NW, North Canton, Ohio 44720 330-966-2100 http://www.mcgerveywealth.com

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • Other
  • CFP
Credentials Other Specified CRPC
Participant Services
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Other
Investments Offered Other Described Actively-managed equity portfolios for SDBAs
McGriff, Seibels & Williams
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 25803 J. Robert Elder Advisor's CRD Number: 4210203 3400 Overton Park Drive, Suite 300 Atlanta, Georgia 30339 404-847-1663 relder@mcgriff.com https://www.mcgriff.com

Robert is 100% independent and has 24 years of exclusive experience consulting for company-sponsored retirement plans. He serves as an investment fiduciary to your retirement plan with absolutely no proprietary fund requirements. Robert has a unique background with expertise in Plan administration, employee education, and investments.

States Approved
  • Alabama
  • Georgia
  • Mississippi
  • South Carolina
  • Texas
Credentials
  • AIF
  • Other
Credentials Other Specified CRSP, MBA (Georgia State U.)
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Retirement Services
  • 401(k)
  • 403(b)
  • Taxexempt 457(b)
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Commissions
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
McLaughlin Asset Management
Experience With Retirement Plans Firm's CRD Number: 125735 20 East Redman Ave Haddonfield, New Jersey 08033 856-216-8444 x223 http://www.mclaughlinassetmgmt.com/

States Approved
  • Delaware
  • New Jersey
  • Pennsylvania
Credentials
  • AIF
  • QPFC
Participant Services
  • Enrollment support - Onsite
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Commissions
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Medallion Wealth Advisors, LLC
Experience With Retirement Plans Firm's CRD Number: 156064 Matthew Woods Weber, CFP Advisor's CRD Number: 5244285 2 Bridgewater Road, Suite 104 Farmington, Connecticut 06032 860-471-8902 mwoodsweber@medallionwealth,com https://www.medallionwealth.com

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Meritage Wealth Advisory
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 147969 1452 N. Vasco Rd. #309 Livermore,, California 94551 925-292-5936 http://www.meritage-wealth.com/solutions/401k/

States Approved
  • California
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Cash Balance
Compensation Structure
  • Fee Only - Fixed Amount
  • Other
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Other
MidAtlantic Capital Management, Inc.
10 - 20 years Experience With Retirement Plans Firm's CRD Number: 116524 11448 Robious Rd Richmond, Virginia 23235 (804) 272-9104 http://www.midatlantic-capital.com

States Approved
  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Wyoming
  • Ohio
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Other
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
  • Other
Investments Offered Other Described Company Stock if requested
Minder Planning Group, LLC
20 - 30 years Experience With Retirement Plans Firm's CRD Number: 150447 498 Reid Rd., Suite 7 Grand Blanc, Michigan 48439 810-309-2321 http://minderplanninggroup.com/

States Approved
  • Michigan
  • Texas
Credentials
  • Other
Credentials Other Specified RFC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Taxexempt 457(b)
  • Governmental 457(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Mitchell, McLeod, Pugh & Williams, Inc.
Experience With Retirement Plans Firm's CRD Number: 138240 2610 Dauphin Street Mobile, Alabama 36606 251-471-2027 info@mmpw.com http://mmpw.com/retirement-plan-consulting/

States Approved
  • Alabama
  • Florida
  • Georgia
  • Louisiana
  • Mississippi
  • North Carolina
  • Texas
  • Virginia
Modern Dollar Planning LLC
Experience With Retirement Plans Firm's CRD Number: 174695 20 S. Sarah Street St. Louis, Missouri 63108 314-827-5852 https://www.modern-dollar.com/

States Approved
  • Illinois
  • Missouri
  • Texas
Credentials
  • Other
  • CFP
Credentials Other Specified MBA
Participant Services
  • Enrollment support - Onsite
  • Investment advice - Model portfolios
Participant Service Other Described Annual Education Meeting
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • 403(b)
  • Cash Balance
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Model Portfolios
  • Target Date Funds (TDFs)
Money Intel
Experience With Retirement Plans Firm's CRD Number: 164597 1601 S De Anza Blvd, Suite 118 Cupertino, California 95014 408-656-4853 https://moneyintel.com/

States Approved
  • California
  • Illinois
  • Missouri
Credentials
  • Other
Credentials Other Specified FINRA Series 63, 65, 79
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Target Date Funds (TDFs)
Morgan Stanley
Experience With Retirement Plans Firm's CRD Number: 149777 2700 Patriot Blvd, Suite 150 Glenview, Illinois 60026 847-441-3677 http://www.morganstanleyfa.com/theriverfallsgroup/

States Approved
  • Arizona
  • California
  • Colorado
  • Florida
  • Idaho
  • Illinois
  • Kansas
  • Kentucky
  • Maine
  • Massachusetts
  • Michigan
  • Minnesota
  • Missouri
  • Montana
  • Nevada
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Tennessee
  • Texas
  • Virginia
  • Washington
  • Wisconsin
  • Ohio
Credentials
  • Other
Credentials Other Specified Chartered Retirement Plan Specialist (CRPS)
Morgan Stanley
Experience With Retirement Plans Firm's CRD Number: 149777 Stephen Riddle Advisor's CRD Number: 4850123 300 Market Street, NE Suite 101 Decatur, Alabama 35601 256-552-9452 http://www.morganstanleyfa.com/stephen.riddle

States Approved
  • Alabama
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
Compensation Structure
  • Commissions
Morgan Stanley
0 - 5 years Experience With Retirement Plans Firm's CRD Number: 149777 Thomas Adent II Advisor's CRD Number: 6287733 7530 Parker Road, Fairhope, Alabama 36532 251-990-2955 http://www.morganstanleyfa.com/thomas.adent.ii/

States Approved
  • Alabama
Credentials Other Specified Licenses include; Series 3, 7 & 66, Life/Accident, Health/Variable Life and Vairable Annuity Insurance License
Participant Service Other Described Life insurance, Long Term Care Insurance, Banking and Lending (mortgages)
Investments Offered Other Described Open architecture platform, we can work with most existing plans.
Newbridge Wealth Management, LLC
Experience With Retirement Plans Firm's CRD Number: 169239 Vincent R Barbera Advisor's CRD Number: 4555357 1055 Westlakes Drive, Ste 300 Berwyn, Pennslyvania 19312 610-727-3960 partners@newbridgewealth.com https://www.newbridgewealth.com

States Approved
  • New Jersey
  • Pennsylvania
  • Texas
Credentials
  • CFA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(38) investment manager
  • ERISA 3(21) investment advisor
Plan Sizes
  • $0 - $100k
  • $100k - $250k
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Northeast Advisers, Inc.
Experience With Retirement Plans Firm's CRD Number: 108835 Michael Devine Advisor's CRD Number: 1991691 163 W. Lancaster Ave., Suite 101 Paoli, Pennslyvania 19301 610-240-7955 / 800-971-7039 advice@northeastadvisers.com www.northeastadvisers.com

States Approved
  • California
  • Delaware
  • Florida
  • New Jersey
  • Pennsylvania
  • Texas
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Phone
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
What plan level services do you offer?
  • Investment menu selection
  • ERISA 3(21) investment advisor
  • Investment Policy Statement (IPS)
  • Quarterly Investment Monitoring
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Norwood Economics, Inc.
5 - 10 years Experience With Retirement Plans Firm's CRD Number: 282079 1686 James Blvd, Greenfield, Indiana 46140 317-590-9095 https://www.norwoodecon.com/

States Approved
  • Indiana
Credentials Other Specified MPA
Note Advisors, LLC
Experience With Retirement Plans Firm's CRD Number: 171466 50 Lakefront Blvd., Suite 215 Buffalo, New York 14202 716-256-1682 https://www.noteadvisor.com

States Approved
  • California
  • Florida
  • Montana
  • New York
  • Pennsylvania
  • Texas
  • Virginia
Credentials
  • AIF
  • ChFC
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Participant Service Other Described Employee Education, annual fiduciary review, plan design consulting, fee benchmarking, service provider benchmarking (recordkeeper and TPA), investment policy statement development
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
  • 409(A)
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Fixed Amount
  • Fee Only - Hourly
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Nowlin & Associates
10 - 20 years Experience With Retirement Plans 2718 20th St. S., Birmingham, Alabama 35209 205-292-7460 https://www.nowlinwm.com/

States Approved
  • Alabama
  • Georgia
  • Mississippi
  • South Carolina
  • Tennessee
  • Texas
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Enrollment Support - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
  • Profit sharing only
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Oak Street Advisors
Experience With Retirement Plans Firm's CRD Number: 139400 1335 44th Ave. N, Suite 201 Myrtle Beach, South Carolina 29577 843-946-9868 http://www.oakadvisors.com/