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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 Plans14724 Ventura Blvd., Suite 1205Sherman Oaks, California 91403855-360-1080 x102http://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 Plans203 W. Franklin StreetCenterville, Ohio 45459937-434-1790http://www.401advisor.com/

States Approved
  • Ohio
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans725 Cool Springs Blvd., Suite 60Franklin, Tennessee 370615-226-3667http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans3621 NW 63rd Street, Suite A1Oklahoma City, Oklahoma 73116405-848-9826http://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
  • Investment advice - 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 Plans7135 E. Camelback Rd, #230Scottsdale, Arizona 85251(480) 205-1743http://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
  • Investment advice - 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 Plans1122 Meridian AvenueSan 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
  • Neveda
Credentials
  • AIF
  • QPFC
  • Other
Credentials Other Specified PRP CRPS
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
AFS Advisors
10 - 20 years Experience With Retirement Plans1325 Satellite Boulevard, Building 1300, Suite 1301Suwanee, Georgia 30024(678) 473-0324http://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 Plans10100 Santa Monica Blvd, Ste 300Los Angeles, California 90067(310) 907-8656http://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 Plans2500 Kettering TowerDayton, Ohio 45423(937) 610-9388https://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
  • Investment advice - One-on-one
  • Investment advice - Model portfolios
Participant Service Other Described Complimentary Financial Planning Assessment
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 Plans210 E. Man St.Montrose, Colorado 81401(970) 765-0595https://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. Disclosure: Investment Advisor Representative offering advisory and securities through Cetera Advisor Networks LLC, Member FINRA / SIPC. Approach Financial Planning is independent of Cetera.

States Approved
  • Arizona
  • California
  • Colorado
  • Connecticut
  • Iowa
  • Kansas
  • New Mexico
  • South Dakota
  • Virginia
Credentials
  • Other
  • CFP
Credentials Other Specified MBA, PPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans9000 Keystone Crossing, Suite 630Indianapolis, Indiana 46240(317) 581-5664https://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
  • Neveda
  • 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
  • Investment advice - 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 Plans4779 Atlanta Road, Suite 250Atlanta, Georgia 30339(678) 996-0962http://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
  • Investment advice - 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 Plans6015 Pierson Rd #2Flushing, Michigan 48433810-230-1375http://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.

Compensation Structure
  • Commissions
Investments Offered
  • Actively-managed mutual funds
Barden Capital Management
10 - 20 years Experience With Retirement Plans8828 Mountain Path CircleAustin, Texas 78759512-366-8081http://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
  • Investment advice - 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
Bell Wealth Management
10 - 20 years Experience With Retirement Plans2901 Bee Cave RoadAustin, Texas 78746512-374-9500http://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.

Credentials
  • CFA
Participant Services
  • Enrollment support - Onsite
Retirement Services
  • 401(k)
Benefits Solutions Group, Inc.
Experience With Retirement Plans601 Bel-Air Blvd., Ste 101,Mobile, Alabama 36606(251) 633-401Khttp://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 Plans8784 Station StreetFishers, Indiana 46038317-590-9095http://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.

Credentials
  • Other
Credentials Other Specified MPA
Blue Map Capital
Experience With Retirement Plans440 Davis Court, Suite 1615San Francisco, California 94111415-999-1940http://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.

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 Plans14 3rd Ave NE, Suite 200Hickory, North Carolina 28601828-322-5354

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.

Credentials
  • AIF
Blueprint Financial Strategies
Experience With Retirement Plans75 Glen Road, Suite 208Newtown, Connecticut 06482203-204-6224http://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
  • Investment advice - 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 Plans60 S. Market, Suite 800San Jose, Alabama 95113408-961-6336www.bpmcpa.com

Credentials
  • Other
Credentials Other Specified QPA, QKA, CPC, TGPC, PPC, GFS, CBFA
Bright Road Wealth Management, LLC
10 - 20 years Experience With Retirement Plans310 K Street, Suite 200Anchroge, Alaska 99501(907) 339-1555http://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
  • Investment advice - 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
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 Plans1550 Timothy Rd., Suite 102Athens, Georgia 30606706-208-1166https://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
  • Investment advice - 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)
Butler Capital Advisors
Experience With Retirement Plans28350 Kensington Lane, Suite 100Perrysburg, Ohio 43551(419) 243-9665http://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 Plans3740 Executive Center DrAugusta, Georgia 30907706-855-0170http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans1201 Main Street, Suite 1980Columbia, South Carolina 29201803-200-1482http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans649-8 S. Milledge AveAthens, Georgia 30605706-548-3422http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans1505 Mangrum StPflugerville, Texas 78660512-231-0890http://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
  • Investment advice - 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 Plans1266 Furnace Brook ParkwayQuincy, Massachusetts 02169617-786-1600http://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

Credentials
  • AIF
Participant Service Other Described Financial Modeling
CapSouth Partners, Inc.
10 - 20 years Experience With Retirement Plans2216 West Main StreetDothan, Alabama 36301334-673-8600http://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
  • Neveda
  • 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
  • Investment advice - 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)
Century Wealth Management
0 - 5 years Experience With Retirement Plans1770 Kirby Parkway, Suite 117Memphis, Tennessee 38138901-850-5532http://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 Plans8440 SW Canyon LanePortland, Oregon 97225503-222-7100http://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
  • Neveda
  • New Jersey
  • New York
  • Oregon
  • Texas
  • Washington
  • Ohio
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Investment advice - 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 Plans1927 S. Tryon St, Suite 106Charlotte, North Carolina 28203704-373-2525https://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
  • Investment advice - 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 Plans1691 Timber RunHavana, Florida 32333(850) 591-8140http://www.chandeleurllc.com

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

Credentials Other Specified RIA
Clarity Wealth Development
5 - 10 years Experience With Retirement Plans262 NW Polk AveCorvallis, Oregon 97330541-753-1898http://www.claritywealthdevelopment.com

We help small businesses set up their plan as well as provide assistance to employees to get them started and on track. Many employers appreciate our services and willingness to provide support in person or online. We have two CFP's on staff and work hard to make sure this is a successful launch for everyone.

States Approved
  • Oregon
  • Texas
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
  • 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)
  • Model Portfolios
  • Target Date Funds (TDFs)
Clear Financial Strategies, LLC
Experience With Retirement Plans5407 Trillium Blvd, Suite 210Hoffman Estates, Illinois 60192855-972-9564https://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)
ColeFP and Wealth Management, Inc
5 - 10 years Experience With Retirement PlansP.O. Box 36608Birmingham, Alabama 35236205-477-5118http://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 Plans1127 B Hendersonville RoaAsheville, North Carolina 28803828-252-1816 x110http://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.

Credentials
  • CPA
  • CFP
Credentials Other Specified CRPS
Retirement Services
  • 401(k)
Investments Offered
  • Actively-managed mutual funds
Commerce Street Peak Advisors
Experience With Retirement Plans1445 Ross Avenue, Suite 2700Dallas, Texas 75202214-545-6800https://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
  • Neveda
  • 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
  • Investment advice - 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
5 - 10 years Experience With Retirement Plans900 Main Ave, Suite 200Durango, Colorado 81301970-385-5227http://www.compfinancial.com

We are located in Durango, Colorado and have been independent, fee-only advisors for over 11 years. See your website at www.compfinancial.com for more information.

States Approved
  • Colorado
Credentials
  • CFP
Credentials Other Specified Registered Investment Advisor
Participant Services
  • Other
Participant Service Other Described General financial education to help participants select investments.
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)
  • Other defined benefit
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Model Portfolios
CPG Wealth
Experience With Retirement Plans2015 Boundary StBeaufort, South Carolina 29902843-379-3411http://cpgwealth.com/

States Approved
  • Georgia
  • North Carolina
  • South Carolina
  • Virginia
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Investment advice - 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 Plans5646 Milton St, Suite 723Dallas, Texas 75206214-484-9476http://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.

Credentials
  • AIF
  • Other
Credentials Other Specified CRPC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans28 So. Waterloo Road, 202Devon, Pennslyvania 19333610-788-2142http://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
  • Investment advice - 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)
Cypress Wealth Management, LLC
5 - 10 years Experience With Retirement Plans9873 Farmyard DrCordova, Tennessee 38016901-292-3596http://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
  • Investment advice - 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 Plans3030 N.W. Expressway, Suite 200Oklahoma City, Oklahoma 73112405-787-0065

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.

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 Plans30421 Highway 181Daphne, Alabama 36526251-625-0046http://www.daniellupton.com/

States Approved
  • Alabama
Day & Ennis
10 - 20 years Experience With Retirement Plans125 Plantation Centre Drive, Building 400Macon, Georgia 31210478-719-9164http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans421 Loudon RoadAlbany, New York 12211518-362-2119http://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
  • Investment advice - 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 Plans1413 E 15th StPlano, Texas 75074214-556-8904https://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
  • Neveda
  • 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
  • Investment advice - 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 Plans11242 86th Ave NMaple Grove, Minnesota 55369612-347-8685http://www.dorvalchorne.com

Specializing in individual participant advice.

Duncan Williams Asset Management, LLC
Experience With Retirement Plans6263 Poplar Avenue , Suite 300Memphis, Tennessee 38119901-435-4276http://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
  • Investment advice - 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
  • 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)
Efficient Market Advisors
Experience With Retirement Plans4180 La Jolla Village Drive, Suite 315La Jolla, California 92037(858) 847-0690http://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
  • Neveda
  • 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)
encore401(k)
5 - 10 years Experience With Retirement Plans8200 Greensboro Drive, Suite 1150McLean, Virginia 22102(571) 405-3716http://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 Plans1856 N Nob Hill Road, Suite 219Plantation, Florida 33322(954) 288-1193http://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.

Participant Services
  • Enrollment support - Onsite
Retirement Services
  • 401(k)
ESI Financial Services, Inc.
0 - 5 years Experience With Retirement Plans3755 Avocado Blvd., P.O. Box 523La Mesa, California 91941(619) 328-5054http://esifinancialservices.com

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

Everhart Advisors
20 - 30 years Experience With Retirement Plans5890 Venture Dr., Suite DDublin, Ohio 43017614-717-9705http://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
  • Investment advice - 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 Plans9125 Monroe Plaza Way, Suite ASandy, Utah 84070801-545-8706https://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
  • Investment advice - 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 Plans15521 Midlothian TurnpikeMidlothian, Virginia 23113804-794-1981 x4http://www.EvoAdvisers.com

States Approved
  • Virginia
Credentials
  • AIF
  • Other
  • CFP
Credentials Other Specified MBA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans6100 Fairview Rd, Ste 1210Charlotte, North Carolina 28210704-916-7646http://fairviewfinancial.com

Please refer to our website fairviewfinancial.com

Fearheller Advisors
10 - 20 years Experience With Retirement Plans78228 Allegro DrivePalm Desert, California 92211760-766-2084http://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
  • Investment advice - 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 Plans4604-H Pinecrest Office Park DriveAlexandria, Virginia 22312703-242-1231http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans10133 N Lane DrKansas City, Missouri 64157913-735-7283http://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)
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 PlansFirst Bankers Trust Services, Inc. 10 - 20 years Experience With Retirement Plans 2321 Kochs LaneQuincy, Illinois 62305217-221-8657https://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.

Credentials
  • AIF
Investments Offered Other Described Collective Investment Trusts
FixedFee401k
Experience With Retirement Plans6800 College Boulevard, Suite 630Overland Park, Kansas 66211913-827-9952http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans1500 S 70th Street, Suite 104Lincoln, Nebraska 68506312-256-9971http://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
  • Investment advice - 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 Plans207 N. View TerraceAlexandria, Virginia 22301703-836-3653

Single employee business

States Approved
  • Alabama
  • Florida
  • Georgia
  • Maryland
  • North Carolina
  • South Carolina
  • Tennessee
  • Texas
  • Virginia
Credentials
  • CFP
Participant Services
  • Enrollment support - Online
  • Investment advice - 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)
Fortress Investment Advisors, LLC
Experience With Retirement Plans4640 E Sunrise Dr, Suite 211Tucson, Arizona 85718520-751-8600https://www.fortresscompany.com/

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
FPL Capital Management
0 - 5 years Experience With Retirement Plans3525 North Causeway Blvd., Suite 633Metairie, Louisiana 70002800-835-1969http://www.fplcapital.com

We are fee-only fiduciaries. We DO NOT charge a fee based on assets under management. Our fee is based on the number of participants.

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
  • Neveda
  • 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
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Self-Directed Brokerage Accounts
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 - 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)
Fragasso Financial Advisors
Experience With Retirement Plans610 Smithfield StreetPittsburgh, Pennslyvania 15222412-227-3249http://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
  • Investment advice - 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 Plans250 State StreetMobile, Alabama 36603251-581-8629

States Approved
  • Alabama
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
Full Spectrum Wealth
Experience With Retirement Plans3920 Birch Street, Suite 103 Newport Beach, California 92660949-476-4585http://fswealth.com/new/fullspectrumwealth/

States Approved
  • California
  • Neveda
Credentials
  • Other
Credentials Other Specified J.D.
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
GCW Capital, LLC
Experience With Retirement Plans38 Lake StreetHamburg, New York 14075716-256-1682http://gcwcapitalgroup.com/

States Approved
  • California
  • Florida
  • Montana
  • New York
  • Pennsylvania
  • Texas
  • Virginia
Credentials
  • AIF
  • ChFC
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
Gerstemeier Financial Group, LLC
10 - 20 years Experience With Retirement Plans4300 Commerce Ct., Suite 300-22Lisle, Illinois 60532630-420-6601http://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
  • Investment advice - 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 PlansPO Box 2283Boothwyn, Pennslyvania 19061610-494-1322http://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
  • Investment advice - 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 Plans334 E Coast Hwy, #101Corona Del Mar, California 92625949-436-9518http://gwmllc.com/

States Approved
  • California
Credentials
  • CPA
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans4551 13th Street, Unit CBoulder, Colorado 80304720-887-1299http://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
  • Investment advice - 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)
Greenbush Financial Group
Experience With Retirement Plans75 Troy RoadEast Greenbush, New York 12061518-477-6686http://www.greenbushfinancial.com

States Approved
  • New York
Credentials
  • Other
  • CFP
Credentials Other Specified QKA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
Greenspring Advisors, LLC
10 - 20 years Experience With Retirement Plans501 Fairmount Avenue, Suite 102Towson, Maryland 21286443-564-4600www.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
  • Investment advice - 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 Plans132 Chief Justice Crushing Hwy, Old Colony Square, Suite #70Cohasset, Massachusetts 02025781-591-PLANhttp://www.griffinfinancialplanning.com/

States Approved
  • Massachusetts
Credentials
  • AIF
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Investment advice - 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)
Guzzetta Financial Associates
Experience With Retirement Plans13 Genesse St., PO Box 564Greene, New York 13778607-216-9430http://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
  • Investment advice - 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 Plans101 S. Front St.Tupelo, Mississippi 38804662-823-4722http://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.

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 Plans159 W. Lancaster Ave, Suite ThreePaoli, Pennslyvania 19301610-240-4740http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans36700 Woodward Avenue, Suite 201Bloomfield Hills, Michigan 48304248-258-6866http://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.

Credentials
  • Other
Credentials Other Specified JD, Series 65
Retirement Services
  • 401(k)
Heritage Wealth Management
Experience With Retirement Plans4400 Post Oak Parkway, Suite 2510Houston, Texas 77027713-871-9800http://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 Plans1680 Route 23, Suite 210Wayne, New Jersey 07470973-557-2933http://www.hfa401k.com

Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
Experience With Retirement Plans1200 Market StreetChattanooga, Tennessee 37402423-933-1825http://www.hhmwealth.com/http://www.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 its’ retirement plan clients includes:\n•ERISA Compliance Audit: Review the plan documents, operating procedures, investments, employee education to ensure compliance with applicable law and statutes.\n•Review Plan Design: Review plan documents to ensure plan design is consistent with Plan sponsor’s goals and objectives while balancing both long-term retirement objectives and near-term tax benefits.\n•Employee Education Sessions: Meet with employees regarding purpose of 401(k) plan – its’ design, options, investing, etc.\n•Employee Enrollment: Hold new employee enrollment meetings at least twice a year. This meeting can also be used as an extension of the employee education program for previously enrolled participants.\n•Plan Sponsor Interface: •Review offered investment choices\n•Development of Investment Policy Statement\n•Prepare periodic investment lineup reports to Plan Sponsor or Retirement Plan Committee\n•Ongoing monitoring and oversight of investment selection\n\n•Interface with Plan Custodian and Third Party Administrator (TPA): Interface when necessary to insure seamless uninterrupted operation of the plan for the benefit of the participants.\n•Interface with Plan Auditors: Our advisors work closely with plan auditors to ensure timely, accurate and cost effective review.

Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
Investments Offered
  • Actively-managed mutual funds
  • Other
Investments Offered Other Described Risk Based Funds
Illumination Wealth Management
5 - 10 years Experience With Retirement Plans8400 Miramar Rd., Suite 203ASan Diego, California 92126858-246-6855http://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 Plans2793 Skyline Court, Suite DGrand Junction, Colorado 81506970-986-4503http://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
  • Investment advice - 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)
Integra Wealth LLC
10 - 20 years Experience With Retirement Plans871 McCallie AvenueChattanooga, Tennessee 37403423-664-0344http://www.integrawealth.com

Most states do not require registration until the firm begins to serve more than six clients. More than likely no matter which state your company is organized in, we can serve you by registering with your state at the onset of an engagement.

States Approved
  • Georgia
  • Tennessee
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Website support
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
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
Integrated Financial Planning Solutions, LLC
5 - 10 years Experience With Retirement Plans203 South Main St., Suite 2AGoshen, Indiana 46526574-975-3682http://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
  • Investment advice - 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 Plans444 Clinchfield St Ste 302Kingsport, Tennessee 37660423-230-4500http://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 Plans7000 Peachtree Dunwoody Road, Bldg. 9, Suite 200Atlanta, Georgia 30328770-394-5619http://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
  • Neveda
  • 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
  • Investment advice - 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)
Jackson Financial Management
20 - 30 years Experience With Retirement Plans151 Kalmus Drive, Suite H-7Costa Mesa, California 92626714-434-6900https://www.employeefiduciary.com/hubfs/assets/advisor-images/Null.png

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.

Compensation Structure
  • Other
Jim MacKay Financial Planning
5 - 10 years Experience With Retirement Plans3039 S Fort Ave, Suite ASpringfield, Missouri 65807417-268-9191http://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 Plans15466 Los Gatos Boulevard, Suite 213Los Gatos, California 95032800-644-5263http://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
  • Investment advice - 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 Plans115 E Fifth StreetShawano, Wisconsin 54166715-524-6626http://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.

Credentials
  • Other
Credentials Other Specified CRPS
Compensation Structure
  • Commissions
Keshemberg Advisory, Ltd
10 - 20 years Experience With Retirement Plans701 Fourth Avenue South, Suite 1500Minneapolis, Minnesota 55415920-205-4381http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans6849 Peachtree Dunwoody Rd, Building B2Atlanta, Georgia 30328770-698-9816http://keystonefg.com/

States Approved
  • Alabama
  • Georgia
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans2712 18th Place South, Birmingham, Alabama 35209(205) 588-2177http://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)
Leavell Investment Management, LLC
10 - 20 years Experience With Retirement Plans210 St. Joseph StreetMobile, Alabama 36602(251) 434-2521http://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)
Litovsky Asset Management
5 - 10 years Experience With Retirement Plans1715 Towering Oak Dr, Sarasota, Florida 34232508-292-8380http://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
  • Neveda
  • 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
  • Investment advice - 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
Majors & Mondragon
5 - 10 years Experience With Retirement Plans118 Vintage Park Blvd. #W-452, Houston, Texas 77070888-215-5888 ext. 5http://www.mm-retirement.com

States Approved
  • Texas
Credentials
  • Other
  • CFP
Credentials Other Specified RICP, CLU, CLF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans6263 Frank Avenue, NW, North Canton, Ohio 44720330-966-2100http://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
  • Neveda
  • 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
  • Investment advice - 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
McLaughlin Asset Management
Experience With Retirement Plans20 East Redman Ave Haddonfield, New Jersey 08033856-216-8444 x223http://www.mclaughlinassetmgmt.com/

States Approved
  • Delaware
  • New Jersey
  • Pennsylvania
Credentials
  • AIF
  • QPFC
Participant Services
  • Enrollment support - Onsite
  • Investment advice - 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)
Meritage Wealth Advisory
5 - 10 years Experience With Retirement Plans1452 N. Vasco Rd. #309Livermore,, California 94551925-292-5936http://www.meritage-wealth.com/401k.php

States Approved
  • California
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans11448 Robious RdRichmond, Virginia 23235(804) 272-9104http://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
  • Neveda
  • 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
  • Investment advice - 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 Plans498 Reid Rd., Suite 7Grand Blanc, Michigan 48439810-309-2321http://minderplanninggroup.com/

States Approved
  • Michigan
  • Texas
Credentials
  • Other
Credentials Other Specified RFC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
Modern Dollar Planning LLC
Experience With Retirement Plans20 S. Sarah Street St. Louis, Missouri 63108314-827-5852https://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 Plans1601 S De Anza Blvd, Suite 118Cupertino, California 95014408-656-4853https://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
  • Investment advice - 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 Plans2700 Patriot Blvd, Suite 150Glenview, Illinois 60026847-441-3677http://www.morganstanleyfa.com/theriverfallsgroup/

States Approved
  • Arizona
  • California
  • Colorado
  • Florida
  • Idaho
  • Illinois
  • Kansas
  • Kentucky
  • Maine
  • Massachusetts
  • Michigan
  • Minnesota
  • Missouri
  • Montana
  • Neveda
  • 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 Plans300 Market Street, NE Suite 101Decatur, Alabama 35601256-552-9452http://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 Plans7530 Parker Road, Fairhope, Alabama 36532251-990-2955http://www.morganstanleyfa.com/thomas.adent.ii/

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.
Northeast Advisers, Inc.
20 - 30 years Experience With Retirement Plans123 Paoli Pike, Paoli, Pennslyvania 19301610-240-7955http://www.northeastadvisers.com

Credentials Other Specified MSFS
Norwood Economics, Inc.
5 - 10 years Experience With Retirement Plans1686 James Blvd, Greenfield, Indiana 46140317-590-9095

Credentials Other Specified MPA
Nowlin & Associates
10 - 20 years Experience With Retirement Plans2718 20th St. S., Birmingham, Alabama 35209205-292-7460https://www.nowlinwm.com/

States Approved
  • Alabama
  • Georgia
  • Mississippi
  • South Carolina
  • Tennessee
  • Texas
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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 Plans1335 44th Ave. N, Suite 201Myrtle Beach, South Carolina 29577843-946-9868http://www.oakadvisors.com/

States Approved
  • Georgia
  • North Carolina
  • South Carolina
Participant Services
  • Enrollment support - Onsite
  • Investment advice - 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
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
  • Other
Oak Street Advisors
Experience With Retirement Plans222 West Coleman Blvd, Suite 115Mt. Pleasant, South Carolina 29464843-901-7778http://www.oakadvisors.com/

States Approved
  • Georgia
  • North Carolina
  • South Carolina
Participant Services
  • Enrollment support - Onsite
  • Investment advice - 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
  • Fee Only - Hourly
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Oriole Advisors, LLC
Experience With Retirement Plans1320 Willow Pass Road, Suite 600Concord, California 94520925-494-3555http://orioleadvisors.com/

States Approved
  • California
Credentials
  • Other
Credentials Other Specified QPA, QKA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
  • 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)
Orlando 401k Specialists
Experience With Retirement Plans661 Highland Drive, Suite 4Altamonte Springs, Florida 32701407-924-7950http://www.orlando401kspecialists.com

States Approved
  • Florida
Retirement Services
  • 401(k)
  • 403(b)
  • Governmental 457(b)
  • Cash Balance
  • Other defined benefit
Osage Pacific Advisors, Inc.
30 - 35 years Experience With Retirement Plans9206 NE Juanita Drive, #C-6,Kirkland, Washington 98034800-536-7776http://f500advisory.com

States Approved
  • Washington
Credentials Other Specified Certifiend Pension Consultant
Participant Service Other Described Hire to Retire Education
Palisade Investments
20 - 30 years Experience With Retirement Plans2903 199th PL SEBothell, Washington 98012425-489-7868http://www.palisadeinvestments.com/

20+ years of experience specializing in fiduciary prudence for employers and retirement readiness for employees.

Participant Service Other Described Retirement Readiness & Planning
Retirement Services
  • 401(k)
Investments Offered Other Described ESG (Environmental, Social, Governance)
Paradigm Financial Partners
30 - 35 years Experience With Retirement Plans315 Post Road West, 2nd Floor, 2nd FloorWestport, Connecticut 06880203-635-4126http://www.pfpartners.com

Paradigm Financial Partners is a independent comprehensive wealth management firm servicing both investment and insurance planning needs.

Credentials
  • AIF
Credentials Other Specified CRPC, CLTC
Paramount Investment Advisors
Experience With Retirement Plans3449 Lawrenceville Suwanee Road, Suite ESuwanee, Georgia 30024(678) 865-4227http://www.paramountia.com/

Paramount Investment Advisors, Inc. applies comprehensive strategies that help manage your financial needs and goals. We have experience that combines extensive knowledge of tax, estate, retirement, insurance, investment and wealth planning. Paramount Investment Advisors, Inc is a comprehensive Fee Only CERTIFIED FINANCIAL PLANNER™️ Registered Investment Advisory Firm serving business owners and professionals. Acting as a fiduciary we embrace our responsibility to you by accepting accountability for the recommendations we provide to our clients. www.paramountia.com

Paul D. Sippil & Associates, LLC
Experience With Retirement Plans65 E. Scott St, 5NChicago, Illinois 60610847-732-2968http://paulsippil.com/

States Approved
  • Illinois
  • Wisconsin
Credentials
  • CPA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
Compensation Structure
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Self Directed Brokerage Accounts (SDBAs)
  • Model Portfolios
Perk Planning
0 - 5 years Experience With Retirement Plans1 N. Pinckney St, Suite 200Madison, Wisconsin 53703608-628-8730http://www.perkplanning.com

Perk Planning is a fee-only Wisconsin Registered Investment Advisory firm located in Madison, Wisconsin. We are proud members of the National Association of Personal Financial Advisors (NAPFA) - the country’s leading professional association of Fee-Only financial advisors.\n\nWe provide financial planning advice to individuals and small business on an hourly basis only. We frequently run into 401(k) plans with excessive fees and we urge our clients to consider Employee Fiduciary. Advising on 401K's is not our primary focus, but we are happy to help plan sponsors to review their options and, if appropriate, to act as a 3(21) investment fiduciary for the plan sponsor.

States Approved
  • Wisconsin
Credentials
  • CFP
Participant Services
  • Enrollment support - Online
  • Investment advice - One-on-one
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
  • $5M - $20M
  • $20M+
Retirement Services
  • 401(k)
Compensation Structure
  • Fee Only - Hourly
Peterson Wealth Advisory
Experience With Retirement Plans186 Hwy 70 ECrossville, Tennessee 38555931-337-1458https://www.petersonwealthadvisory.com/

Peterson Wealth Advisory is a fee-only firm that designs low-cost retirement benefit 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 your retirement benefit plan, educate owners and participants and provide best in class service to small and medium-size businesses. With Peterson Wealth Advisory you will have access to a Certified Financial Planner that provides advice in the client’s best interest.

States Approved
  • Florida
  • Tennessee
  • Washington
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
  • Fee Only - Fixed Amount
Investments Offered
  • Passively-managed (index) mutual funds
  • Target Date Funds (TDFs)
Picket Fence Financial
5 - 10 years Experience With Retirement Plans512 Baltimore PikeBel Air, Maryland 21014410-878-2999http://www.picketfencefinancial.com

Our goal is to save our clients from Wall Street. Most financial advice is conflicted and high cost. We remove those barriers for our clients. For our retirement plan clients, we serve as a fiduciary and usually cut costs for our clients. We offer a free 401(k) report card so you can benchmark your plan.

States Approved
  • Florida
  • Maryland
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
  • Taxexempt 457(b)
  • Cash Balance
  • Other defined benefit
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)
Picket Fence Financial
5 - 10 years Experience With Retirement Plans2706 Alt. 19 NorthPalm Harbor, Florida 34683https://www.picketfencefinancial.com

Our goal is to save our clients from Wall Street. Most financial advice is conflicted and high cost. We remove those barriers for our clients. For our retirement plan clients, we serve as a fiduciary and usually cut costs for our clients. We offer a free 401(k) report card so you can benchmark your plan.

States Approved
  • Florida
  • Maryland
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
  • Taxexempt 457(b)
  • Cash Balance
  • Other defined benefit
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)
Piedmont Independent Fiduciaries, Inc.
Experience With Retirement Plans20130 Lakeview Center Plaza, Suite 400Ashburn, Alabama 20147800-767-8772 x101http://www.pif401k.com

Piedmont Independent Fiduciaries, Inc. serves as a 3(38) investment manager to your plan and offers investment advice to your plan participants.

States Approved
  • Alabama
Credentials
  • AIF
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
Pierce Financial
Experience With Retirement Plans6465 N. Quail Hollow, Suite 200Memphis, Tennessee 38120901-271-3720http://www.piercefinancial.org

Pierce Financial is an independent qualified retirement plan consultancy that sees beyond the obvious. As a co-fiduciary, we assist employer plan fiduciaries in the areas of plan design, investment advisory and due diligence, fiduciary compliance and vendor searches. Our mission is to help plan fiduciaries manage risk in terms of potential personal and corporate financial liability while enhancing investment opportunities to help plan participants achieve successful retirement outcomes.\n\nWe are honored to be selected as Financial Times Top 401 Advisors 2015 and 2016. \n\n

Pinehurst Capital
Experience With Retirement Plans100 Magnolia Road, 3rd FloorPinehurst, North Carolina 28374910-235-4140https://pinehurstcapital.net/

Pinehurst Capital specializes in retirement plan consulting and advisory services, serving as an ERISA 3(38) Fiduciary. Our expertise is in plan design & management, fiduciary investment management, participant education and advice, and on-going, cutting-edge retirement plan solutions.

States Approved
  • North Carolina
Credentials
  • ChFC
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - One-on-one
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described Investment Advice - Self-Directed Brokerage Accounts
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
  • 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)
Pivotal Financial Services, Inc.
10 - 20 years Experience With Retirement Plans14 Pimlico DriveCommack, New York 11725631-486-8128 x201http://www.pivotalsteps.com

The PIVOTAL Commitment:\n\nTruly independent, unbiased fee-based financial advice that is based on your specific needs and goals.\nTo act as your fiduciary, meaning we must put your interests ahead of ours at all times. We must treat your money with proper prudence and provide you with the best possible advice and investments, just as if it were our own.\nA team of true professionals who are experts in all aspects of financial planning, which consists of Investment , Risk (insurance), Retirement, Tax, Estate and Cash Management planning.\nNo allegiance to any company, product or service. OUR only allegiance is to you, your family and your goals.

Plan Sponsor Consultants (LPL Financial)
Experience With Retirement Plans354 W. Delwood Dr., Ste BMobile, Alabama 36606251-544-2400http://plansponsorconsultants.com

Plan Sponsor Consultants www.plansponsorconsultants.com, is a nationally recognized independent retirement plan consulting firm with offices in Alabama, D.C., Maryland, Virginia, Georgia, and Michigan, affiliated with LPL Retirement Partners (formerly National Retirement Partners). We have retirement plan clients throughout the U.S. We demonstrate our Retirement Plan Thought Leadership, daily, through published articles, our regional and national speaking engagements ( 2014 SE Benefit Conference Georgia Tech, 2015 401(k) Summit San Diego) our activities on behalf of plan participants on Capitol Hill, the national Retirement Advisor Council (RAC) and our Financial Literacy efforts.

Credentials Other Specified Retirement Plan Consulting Program
PlanVision
20 - 30 years Experience With Retirement Plans17400 25th Ave NPlymouth, Minnesota 55447612-965-4286http://www.planvisionmn.com

We use simple low-cost portfolios using primarily index funds from Vanguard. We do not support revenue sharing and only charge flat fees for our service. In addition, we provide personal enrollment and planning assistance to our clients' employees using video conferencing.

Credentials
  • AIF
Participant Service Other Described We provide retirement planning guidance. However, we never sell additional products or services to the organization or individuals we work with.
Private Wealth Management of North Carolina
0 - 5 years Experience With Retirement Plans129 W. Belle St.Henderson, North Carolina 27536252-492-8694 ext. 3http://www.pwmofnc.com

PWM of NC aims to provide investment advice to business plans of all sizes by selecting appropriate and cost efficient investment solutions.

States Approved
  • North Carolina
Credentials
  • Other
Credentials Other Specified Series 65 License
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)
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
Profolio Investments
10 - 20 years Experience With Retirement Plans121 Newark Ave Suite 544Jersey City, New Jersey 07306844-855-2584http://profolioinvest.com/

Profolio Investments is an independent Registered Investment Advisor dedicated to putting our client's best interests first. We help small businesses by providing fiduciary, investment, and advisory services to their sponsored retirement plans. Additionally, we help retirement plan participants with personalized, one-on-one financial planning. Our offices are located in Jersey City, NJ however, we serve clients throughout the United States.

States Approved
  • New Jersey
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
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)
Promontory Financial Planning
Experience With Retirement Plans240 N. East Promontory, Suite 200Farmington, Utah 84025801-791-1081http://www.promontoryfp.com/

States Approved
  • Arizona
  • California
  • Colorado
  • Idaho
  • Utah
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
  • 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)
Providus Advisors
10 - 20 years Experience With Retirement Plans1490 S. Price Rd. Suite 303Chandler, Arizona 85286480-704-3024http://www.a-better-401k.com

Please visit our website to learn more.

States Approved
  • Arizona
Credentials
  • AIF
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $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
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Purtill Financial LLC
5 - 10 years Experience With Retirement Plans22 Alpha ParkHighland Heights, Ohio 44143440-484-5340http://www.purtillfinancial.com

Purtill Financial is a fast-growing mid sized fee only independent registered investment advisory firm. Our services include active portfolio management, financial plans, and tax planning and preparation. Our specialty is helping executives, educators, small business owners, retirees and young professionals grow and protect their investment assets.

Credentials Other Specified Employees at Purtill Financial Hold CPA, PFS, and CFP Credentials
Participant Services
  • Enrollment support - Onsite
Retirement Services
  • 401(k)
PWMG 401(K) ADVISORS
10 - 20 years Experience With Retirement Plans11 Foster Street, Suite 200Worcester, Massachusetts 01608877-712-2263http://www.pwmgllc.com/

Our Small Business Retirement Plan Consulting Services are available for start-up or take-over plans. Whether you’re considering a plan for the first time, having a plan you’re not satisfied with or just want to enhance the service that you get on your current plan, our Small Business Retirement Plan Consulting Services may be for you.

Credentials Other Specified PPC
QBOX Fiduciary Solutions LLC
Experience With Retirement Plans3601 Hobson Rd, Suite 202Fort Wayne, Indiana 46815260-918-4108http://www.qboxfs.com/

States Approved
  • Arizona
  • California
  • Georgia
  • Indiana
  • New Hampshire
  • New York
  • Texas
  • Utah
  • Washington
Credentials
  • AIF
Participant Services
  • Enrollment support - Online
  • Investment advice - Model portfolios
  • Other
Participant Service Other Described ERISA 3(38) Investment Fiduciary Manager
Plan Sizes
  • $0 - $100k
Retirement Services
  • 401(k)
  • Profit sharing only
  • 403(b)
  • Cash Balance
  • Other defined benefit
Compensation Structure
  • Fee Only - Asset Based
  • Other
Investments Offered
  • Actively-managed mutual funds
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Raffa Retirement Services
Experience With Retirement Plans1445 Research Blvd., #340Rockville, Maryland 20850240-403-2550http://www.raffaretirement.com/

States Approved
  • California
  • Colorado
  • Delaware
  • Florida
  • Georgia
  • Illinois
  • Maryland
  • New Jersey
  • New Mexico
  • New York
  • Pennsylvania
  • Tennessee
  • Virginia
  • Ohio
Credentials
  • AIF
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Other
Participant Service Other Described 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)
  • 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)
  • Target Date Funds (TDFs)
  • Other
Investments Offered Other Described CITs
Rathbone Warwick Investment Management
20 - 30 years Experience With Retirement Plans101 S. Capitol Boulevard, Suite 1201Boise, Idaho 83702208-297-5445http://www.rathbonewarwick.com

Rathbone Warwick Investment Management is a money management firm offering institutional management to families, businesses, and non-profit organizations using a highly disciplined investment approach.

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
  • Neveda
  • 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
  • Enrollment support - Onsite
  • Investment advice - 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)
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)
Raymond James Financial Services
20 - 30 years Experience With Retirement Plans4316 Old Canton Rd., Suite 100-BJackson, Mississippi 39211601-366-4050http://www.raymondjames.com/ms

We will be happy to provide a complimentary plan analysis of your existing plan.

Credentials Other Specified CEBS
Reef Wealth Management
10 - 20 years Experience With Retirement Plans32107 Lindero Canyon Rd, Suite 106Westlake Village, California 91361310-529-6069http://www.reefwealth.com/

Reef Wealth Management provides retirement plan consulting and investment advisory services. Our focus is to help maximize savings into a plan for the benefit of all participants. This is accomplished thru in person employee financial education which yields higher participation rates and better prepared participants. Our sponsors’ plans range in size from 30 to over 400 employees.

States Approved
  • California
  • Missouri
  • North Carolina
  • Pennsylvania
  • Texas
Credentials
  • AIF
  • Other
Credentials Other Specified CWS
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
  • Other
Investments Offered Other Described DFA, LORING WARD, Vanguard
Results Wealth Management, LLC
10 - 20 years Experience With Retirement Plans513 Sang Saloon RdCedar Park, Texas 78613512-568-6477http://www.resultswm.com

With Employee Fiduciary as your TPA, and Results Wealth Management as your plan advisor, we guarantee you'll be a Top 15% plan category on next year's Brightscope ratings.

Participant Service Other Described We provide participant-level 3(38) services for Texas-based 401(k) plans
Retire Right Planning, LLC
Experience With Retirement PlansPO Box 15Silverthorne, Colorado 80498720-515-1066http://retirerightplanning.com/

States Approved
  • Colorado
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $0 - $100k
  • $100k - $250k
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
Retirement Services
  • 401(k)
Compensation Structure
  • Fee Only - Asset Based
Investments Offered
  • Passively-managed (index) mutual funds
  • Exchange Traded Funds (ETFs)
  • Model Portfolios
  • Target Date Funds (TDFs)
Retirement Consulting Services, Inc.
10 - 20 years Experience With Retirement Plans16475 Dallas Parkway, Suite 615Addison, Texas 75001972-248-1500http://www.retirementconsultingservices.com

Considered a fiduciary because we render investment advice for a fee. We do not have discretionary authority over participant accounts.

Credentials Other Specified MBA
Participant Service Other Described Employee & Participant educational meetings
Retirement Funding Advisors, LLC
Experience With Retirement Plans400 Pettigru Street (29601), P.O. Box 17262Greenville, South Carolina 29606864-252-4694http://retirementfa.com/

States Approved
  • Florida
  • Georgia
  • North Carolina
  • South Carolina
Credentials
  • Other
Credentials Other Specified QKA, CPFA
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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)
  • 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)
Retirement Plan Advisors
10 - 20 years Experience With Retirement Plans117 E Fifth StreetShawano, Wisconsin 54166715-524-6626http://www.retirementplanadvisors.com

Tony is a retirement plan consultant with Retirement Plan Advisors LLC, an independent retirement plan consulting firm that specializes in private and public sector retirement plans (401(k), 403(b), 457, ect.). In addition, Retirement Plan Advisors LLC provide investment management services for individuals, non-profits and corporations.\n

States Approved
  • California
  • Michigan
  • Washington
  • Wisconsin
Credentials
  • AIF
  • Other
  • CFP
Credentials Other Specified CRPS
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - 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
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)
Rockwood Wealth Management
10 - 20 years Experience With Retirement Plans130 Admiral Cochrane Drive, Suite 200Annapolis, Maryland 21401410-224-0097http://www.rockwoodwealth.com/

We ensure Trustees fulfill their fiduciary obligation to the plan.

States Approved
  • Maryland
  • Virginia
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - One-on-one
  • Investment advice - Model portfolios
Plan Sizes
  • $250k - $500k
  • $500k - $1M
  • $1M - $5M
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
Rogers Wealth Planning
30 - 35 years Experience With Retirement Plans1337 Howe Avenue, Suite 250Sacramento, California 95825916-485-3473http://www.rogerswealthplanning

Please visit our website at www.rogerswealthplanning.com

Rosemont Financial Group
10 - 20 years Experience With Retirement Plans18 Corporate Woods Blvd, Floor#3Albany, New York 12211518-621-7173http://www.rosemontfg.com

Our firm consists of independent financial professionals. We are not employees of an investment or financial services firm, we are independent business owners. Because we are not affiliated with any insurance or investment companies, we are truly objective in the advice we give and the products we recommend. Therefore, we are not pressured or distracted by corporate interests and can focus on what is best for you and your financial goals.\n\nWith an average of 15 years of financial industry experience, our team at Rosemont Financial Group knows what it takes to help individuals, families, and businesses accomplish their financial goals. If you are an individual or family, we will help you create a plan for accumulation of assets, management of assets, and distribution of assets for any goal you have while helping you monitor the plan from start to finish. We can also help you with all of your insurance needs, education planning, and estate planning. If you are a business, we will help you create an employee benefits package that meets both your needs as the employer and those of the employee while working within your company’s budget. We can help you create strategies for business continuation plans, retirement plans, and various insurance plans. Please contact us for a complimentary consultation.

States Approved
  • New York
Credentials
  • CFP
Participant Services
  • Enrollment support - Onsite
  • Enrollment support - Online
  • Investment advice - Model portfolios
Plan Sizes
  • $1M - $5M
Retirement Services
  • 401(k)
  • Profit sharing only
  • 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)
RSD Financial, LLC
5 - 10 years Experience With Retirement Plans8850 Columbia 100 Parkway, Suite 306Columbia, Maryland 21045410-992-4904http://www.rsdfinancial.com

Please contact me for a introductory meeting

Credentials Other Specified LUTCF