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Advisor Directory

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.

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Advisor
1080 Financial Group
Experience With Retirement Plans

Firm's CRD Number: 226710

14724 Ventura Blvd., Suite 1205
Sherman Oaks California 91403

855-360-1080 x102
http://1080financial.com/
State Approved
California
Credentials
Other
CFP
Participant Services
Other
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)
Advisor
401 Advisor, LLC
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 126428

203 W. Franklin Street
Centerville Ohio 45459

937-434-1790
http://www.401advisor.com/
State Approved
Ohio
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
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)
Advisor
Abound Wealth Management
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 285903

725 Cool Springs Blvd., Suite 60
Franklin Tennessee 370

615-226-3667
http://aboundwealth.com

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

Some of the services we offer include:

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

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

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

- Developing an Investment Policy Statement.

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

- Educational presentations for your employees.

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

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

Firm's CRD Number: 109495

3621 NW 63rd Street, Suite A1
Oklahoma City Oklahoma 73116

405-848-9826
http://www.afradvice.com

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

State Approved
Oklahoma, Texas
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
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)
Advisor
Adam C. Harding, CFP®
10 - 20 years Experience With Retirement Plans

Adam C. Harding
Advisor's CRD Number: 282686

7135 E. Camelback Rd, #230
Scottsdale Arizona 85251

(480) 205-1743
http://www.adamclarkharding.com

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

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

State Approved
Arizona, Texas
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Target Date Funds (TDFs)
Advisor
Advanced Retirement Solutions
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 288022

1122 Meridian Avenue
San Jose California 95125

(408) 691-1115
http://www.arsadvisor.com/

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

State Approved
Arizona, California, Nevada
Credentials
AIF
QPFC
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Adviser Investments, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 156984

Sophie Benander
Advisor's CRD Number: 7129824

85 Wells Ave, Suite 109
Newton Massachusetts 02459

617-321-2388
sbenander@adviserinvestments.com https://www.adviserinvestments.com/

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
CFA
CPA
PFS
QPFC
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
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)
Advisor
AEL Wealth Management
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 288742

C. Rick Skinner
Advisor's CRD Number: 2933971

5455 W 86th Street, Suite 165
Indianapolis Indiana 46268

317-941-6492 ext 106
rskinner@aelwm.com https://www.aelwm.com
The main objective of AEL Wealth Management is to understand and address the evolving interests of plan sponsors and their employees. Our goal is to help plan sponsors identify and select progressive, smooth-running, cost-effective plans.
State Approved
Florida, Indiana, Texas
Credentials
AIF
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
AFS Advisors
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 156180

1325 Satellite Boulevard, Building 1300, Suite 1301
Suwanee Georgia 30024

(678) 473-0324
http://afsadvisors.com/

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

State Approved
Georgia, South Carolina
Advisor
AG Asset Advisory, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 154406

10100 Santa Monica Blvd, Ste 300
Los Angeles California 90067

(310) 907-8656
http://agassetadvisory.com

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

State 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
Advisor
Anderson Financial Strategies, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 290343

Shon P. Anderson
Advisor's CRD Number: 5276913

2500 Kettering Tower
Dayton Ohio 45423

(937) 610-9388
info@andersonfinancialstrategies.com https://andersonfinancialstrategies.com/

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

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

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

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

State Approved
Ohio
Credentials
AIF
CFA
CFP
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Compensation Structure
Fee Only - Asset Based
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)
Advisor
Approach Financial
Experience With Retirement Plans

Firm's CRD Number: 13572

Justin Pritchard, CFP®, MBA, PPC®
Advisor's CRD Number: 4055823

210 E. Man St.
Montrose Colorado 81401

(970) 765-0595
info@approachfp.com https://approachfp.com/

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

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

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

State Approved
Colorado
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
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)
Advisor
Archer Investment Corporation
Experience With Retirement Plans

Firm's CRD Number: 136403

9000 Keystone Crossing, Suite 630
Indianapolis Indiana 46240

(317) 581-5664
https://www.archerinvestment.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFA
CPA
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
409(A)
Compensation Structure
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Asset Advisors Group, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 25803

Randy Martinez, MS, CPA, CFP®
Advisor's CRD Number: 4930351

4779 Atlanta Road, Suite 250
Atlanta Georgia 30339

(678) 996-0962
http://www.assetadvisorsgroup.com

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

State Approved
Alabama, Florida, Georgia, Louisiana, Maryland, Mississippi, North Carolina, South Carolina, Texas
Credentials
CPA
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
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)
Advisor
Bachmann Financial Group
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 10205

Advisor's CRD Number: 5504839

6015 Pierson Rd #2
Flushing Michigan 48433

810-230-1375
http://www.bachmannfinancial.com/

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

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

State Approved
Michigan
Compensation Structure
Commissions
Investments Offered
Actively-managed mutual funds
Advisor
Barden Capital Management
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 141769

8828 Mountain Path Circle
Austin Texas 78759

512-366-8081
http://www.bardencapital.com/

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

State Approved
California, Kansas, Texas
Credentials
CFA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Advisor
Beacon Hill Investment Advisory
Experience With Retirement Plans

Firm's CRD Number: 148463

Anne Zavaglia
Advisor's CRD Number: 7037505

5500 Frantz Road, Suite 153
Dublin Ohio 43017

614-469-4685
http://www.beaconhilladvisory.com/
State Approved
Ohio
Credentials
AIF
CFA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Bell Wealth Management
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 114259

2901 Bee Cave Road
Austin Texas 78746

512-374-9500
http://www.bellwm.com

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

State Approved
Texas
Credentials
CFA
Participant Services
Enrollment support - Onsite
Retirement Services
401(k)
Advisor
Benefits Solutions Group, Inc.
Experience With Retirement Plans

Firm's CRD Number: 44848

Bill Cohron
Advisor's CRD Number: 1414016

601 Bel-Air Blvd., Ste 101,
Mobile Alabama 36606

(251) 633-401K
http://www.bsgplans.com

Consumer Friendly

State Approved
Alabama
Credentials
AIF
Other
Participant Services
Enrollment support - Onsite
Retirement Services
401(k)
Compensation Structure
Commissions
Investments Offered
Actively-managed mutual funds
Other
Advisor
Biechele Royce Advisors, Inc.
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 120742

8784 Station Street
Fishers Indiana 46038

317-590-9095
http://www.biechele-royce.com/

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

State Approved
Indiana
Credentials
Other
Advisor
Blue Map Capital
Experience With Retirement Plans

Firm's CRD Number: 156328

440 Davis Court, Suite 1615
San Francisco California 94111

415-999-1940
http://www.bluemapcapital.com

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

State Approved
California
Credentials
Other
Participant Services
Enrollment support - Onsite
Investments Offered
Other
Advisor
Blue Ridge Wealth Services
Experience With Retirement Plans

Doug Rongo
14 3rd Ave NE, Suite 200
Hickory North Carolina 28601

828-322-5354

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

State Approved
North Carolina
Credentials
AIF
Advisor
Blueprint Financial Strategies
Experience With Retirement Plans

Firm's CRD Number: 285194

75 Glen Road, Suite 208
Newtown Connecticut 06482

203-204-6224
http://www.blueprintplanning.org/

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

State Approved
Connecticut
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
BPM Advisors, Inc.
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 164441

60 S. Market, Suite 800
San Jose California 95113

408-961-6336
http://www.bpmcpa.com
State Approved
California
Credentials
Other
Advisor
Branning Wealth Management
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 151988

Jason Branning
Advisor's CRD Number: 2955904

400 Fontaine Place, Suite 101
Ridgeland Mississippi 39157

601-500-7925
info@branwealth.com https://branwealth.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFP
Participant Services
Enrollment support - Online
Enrollment support - Phone
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Advisor
Bright Road Wealth Management, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 164408

Brian Pinkston
Advisor's CRD Number: 2916032

310 K Street, Suite 200
Anchroge Alaska 99501

(907) 339-1555
http://www.brightroadwealth.com

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

State Approved
Alaska, Arizona, Hawaii, Oregon, South Carolina, Texas, Washington
Credentials
AIF
CFA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
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)
Advisor
Broad Street Capital Advisors, LLC
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 145460

1550 Timothy Rd., Suite 102
Athens Georgia 30606

706-208-1166
https://www.bscadvisors.com/

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

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

State Approved
Alabama, Florida, Georgia, Hawaii, Louisiana, North Carolina, Oregon, Virginia
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
409(A)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Bull Oak Capital
Experience With Retirement Plans

Firm's CRD Number: 170325

Ryan Hughes
1350 Columbia St., Suite 401
San Diego California 92101

619-618-2423
info@bulloakcapital.com https://www.bulloakcapital.com
State Approved
California
Credentials
CPA
CFP
Participant Services
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Retirement Services
401(k)
Profit sharing only
403(b)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Butler Capital Advisors
Experience With Retirement Plans

Firm's CRD Number: 39543

Advisor's CRD Number: 2180551

28350 Kensington Lane, Suite 100
Perrysburg Ohio 43551

(419) 243-9665
info@butlercapital.net http://www.butlercapitaladvisors.com/
State Approved
Arizona, Colorado, Florida, Georgia, Indiana, Louisiana, Maryland, Michigan, New York, Oregon, Pennsylvania, South Carolina, Tennessee, Virginia, Washington, Ohio
Advisor
Calvary Wealth
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 131478

3740 Executive Center Dr
Augusta Georgia 30907

706-855-0170
http://www.calvarywealth.com

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

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

1201 Main Street, Suite 1980
Columbia South Carolina 29201

803-200-1482
http://www.calvarywealth.com/

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

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

Firm's CRD Number: 133509

649-8 S. Milledge Ave
Athens Georgia 30605

706-548-3422
http://cannonfinancialstrategists.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
ChFC
CPA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$5M - $20M
$20M+
Retirement Services
401(k)
403(b)
Taxexempt 457(b)
Governmental 457(b)
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Capital Advisors
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 136983

1505 Mangrum St
Pflugerville Texas 78660

512-231-0890
http://www.capitaladvisors.us

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

State Approved
Texas
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
Compensation Structure
Commissions
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Capital Analysts of New England
10 - 20 years Experience With Retirement Plans

1266 Furnace Brook Parkway
Quincy Massachusetts 02169

617-786-1600
http://www.capitalanalystsne.com

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

State Approved
Massachusetts
Credentials
AIF
Advisor
CapSouth Partners, Inc.
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 132517

2216 West Main Street
Dothan Alabama 36301

334-673-8600
http://www.capsouth401k.com

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
CFA
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
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)
Advisor
Capstone Investment Financial Group
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 122575

Ryan Turbyfill
Advisor's CRD Number: 6789678

13770 E Rice Pl
Aurora Colorado 80015

303-468-2824
RTurbyfill@CapstoneInvest.com https://www.CapstoneInvest.com

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

State Approved
Colorado
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Compensation Structure
Fee Only - Asset Based
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)
Advisor
Cary Street Partners Investment Advisory
Experience With Retirement Plans

Firm's CRD Number: 128545

Raymond J. Reibel
Advisor's CRD Number: 4232918

901 E. Byrd Street, Suite 1001
Richmond Virginia 23219

804-616-3415
rreibel@carystreetpartners.com https://carystreetpartners.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Centurion Advisory Group
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 140605

Randy Brunson
Advisor's CRD Number: 1421275

6340 Sugarloaf Parkway, Suite 120
Duluth Georgia 30097

770-817-0525
clientservices@centurionag.com https://www.centurionag.com

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
Participant Services
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Target Date Funds (TDFs)
Advisor
Century Wealth Management
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 113769

1770 Kirby Parkway, Suite 117
Memphis Tennessee 38138

901-850-5532
http://www.centurywealth.com

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

State 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
Advisor
CFG Wealth Management
Experience With Retirement Plans

8440 SW Canyon Lane
Portland Oregon 97225

503-222-7100
http://www.cfgwealth.com/

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

State Approved
California, Colorado, Georgia, Indiana, Nebraska, Nevada, New Jersey, New York, Oregon, Texas, Washington, Ohio
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
403(b)
Cash Balance
Compensation Structure
Other
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
CG Financial
Experience With Retirement Plans

1927 S. Tryon St, Suite 106
Charlotte North Carolina 28203

704-373-2525
https://www.mycgfinancial.com/
State Approved
Michigan, North Carolina, South Carolina
Credentials
AIF
ChFC
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
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)
Advisor
Chandeleur Investment Consulting, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 140971

1691 Timber Run
Havana Florida 32333

(850) 591-8140
http://www.chandeleurllc.com

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

State Approved
Florida
Advisor
Clarity Capital Advisors
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 282405

Cheri Franklin, CFP, AIF, CRPC
Advisor's CRD Number: 2012690

100 Spectrum Center Drive, Suite 900
Irvine California 92618

800-345-4635 ext 1
info@clarityca.com https://www.claritycapitaladvisors.com/low-cost-flat-fee-401k-retirement-plans

Clarity Capital Advisors charges a flat-fee for our ERISA 3(38) or ERISA 3(21) services. We enjoy working with our plan sponsor clients to ensure their employees have the best opportunity to save for a comfortable retirement. We serve clients nationwide. Let's get started.

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Fixed Amount
Other
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Clear Financial Strategies, LLC
Experience With Retirement Plans

Firm's CRD Number: 284859

5407 Trillium Blvd, Suite 210
Hoffman Estates Illinois 60192

855-972-9564
https://clear-fs.com/
State Approved
Florida, Illinois
Credentials
AIF
Other
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)
Advisor
Clear Resource Group, LLC
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 304245

Kirk Matteson
Advisor's CRD Number: 4819671

9700 SW Capitol Highway, Suite 150
Portland Oregon 97219

503-227-9800
katkin@clearresourcegroup.com https://www.clearresourcegroup.com

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

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

State Approved
Oregon, Washington
Credentials
CPA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
ColeFP and Wealth Management, Inc
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 132562

P.O. Box 36608
Birmingham Alabama 35236

205-477-5118
http://www.colefp.com/

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

State Approved
Alabama, Louisiana
Credentials
CFP
Participant Services
Enrollment support - Onsite
Investment advice - Model portfolios
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)
Advisor
Colton Groome & Company
Experience With Retirement Plans

1127 B Hendersonville Roa
Asheville North Carolina 28803

828-252-1816 x110
http://www.coltongroome.com/

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

State Approved
North Carolina
Credentials
CPA
CFP
Retirement Services
401(k)
Investments Offered
Actively-managed mutual funds
Advisor
Commerce Street Peak Advisors
Experience With Retirement Plans

Firm's CRD Number: 144278

1445 Ross Avenue, Suite 2700
Dallas Texas 75202

214-545-6800
https://www.commercestreetcapital.com/Root/commercestreet/index.asp

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

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

Firm's CRD Number: 128461

Stan Johnson
Advisor's CRD Number: 128461

530 Main Avenue, Suite A
Durango Colorado 81301

970-764-0953
http://www.compfinancial.com

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

State Approved
Colorado
Credentials
Other
Participant Services
Other
Plan Sizes
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Model Portfolios
Advisor
Conestoga Wealth Management
Experience With Retirement Plans

Firm's CRD Number: 158981

David A Kring
Advisor's CRD Number: 4949862

600 Eagleview Boulevard, #300
Exton Pennslyvania 19341

(610) 241-8711
info@conestogaplanning.com https://conestogawealthmanagement.com/company-retirement-plans/
State Approved
Delaware, New Jersey, Pennsylvania
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$1M - $5M
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
CPG Wealth
Experience With Retirement Plans

2015 Boundary St
Beaufort South Carolina 29902

843-379-3411
http://cpgwealth.com/
State Approved
Georgia, North Carolina, South Carolina, Virginia
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Cross Financial Strategies, LLC
10 - 20 years Experience With Retirement Plans

5646 Milton St, Suite 723
Dallas Texas 75206

214-484-9476
http://www.crossfinancialstrategies.com

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

State Approved
Texas
Credentials
AIF
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
CUBIC Advisors, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 165008

28 So. Waterloo Road, 202
Devon Pennslyvania 19333

610-788-2142
http://www.cubicadvisors.com/

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

State Approved
Maryland, Pennsylvania, Wisconsin
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
CUBIC Advisors, LLC Florida
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 165008

David Pankiw
Advisor's CRD Number: 1476226

871 Venetia Bay Boulevard, Suite 202
Venice Florida 34285

941-218-0830
david.pankiw@cubicadvisors.com https://www.wellenparkfinancialadvisors.com
State Approved
Florida, Maryland, Pennsylvania
Credentials
AIF
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Cypress Wealth Management, LLC
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 154177

9873 Farmyard Dr
Cordova Tennessee 38016

901-292-3596
http://www.cypresswm.com

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

State Approved
Tennessee
Credentials
AIF
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Model Portfolios
Advisor
Daniel P. Hensley & Co.
10 - 20 years Experience With Retirement Plans

3030 N.W. Expressway, Suite 200
Oklahoma City Oklahoma 73112

405-787-0065

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

State Approved
Oklahoma
Advisor
Daniell, Upton & Perry
Experience With Retirement Plans

30421 Highway 181
Daphne Alabama 36526

251-625-0046
http://www.daniellupton.com/
State Approved
Alabama
Advisor
Day & Ennis
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 125549

125 Plantation Centre Drive, Building 400
Macon Georgia 31210

478-719-9164
http://www.dayandennis.com/

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

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

Firm's CRD Number: 141515

421 Loudon Road
Albany New York 12211

518-362-2119
http://directretirement.net

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

State Approved
New York
Credentials
QPFC
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Domestique Capital LLC
Experience With Retirement Plans

Firm's CRD Number: 283046

1413 E 15th St
Plano Texas 75074

214-556-8904
https://domestiquecap.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Dorval & Chorne Financial Advisors
5 - 10 years Experience With Retirement Plans

11242 86th Ave N
Maple Grove Minnesota 55369

612-347-8685
http://www.dorvalchorne.com

Specializing in individual participant advice.

State Approved
Alabama, Minnesota
Advisor
Duncan Williams Asset Management, LLC
Experience With Retirement Plans

Firm's CRD Number: 174809

Hudson Atkins
Advisor's CRD Number: 6104672

6263 Poplar Avenue , Suite 300
Memphis Tennessee 38119

901-435-4276
hudson@dwassetmgmt.com http://www.dwassetmgmt.com/
State Approved
Alabama, Arkansas, California, Florida, Georgia, Idaho, Indiana, Kentucky, Louisiana, Mississippi, New Mexico, North Carolina, Pennsylvania, Tennessee, Texas, Virginia, Ohio
Credentials
CFA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
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)
Advisor
East Franklin Capital
Experience With Retirement Plans

Firm's CRD Number: 164921

Luke Wolf
Advisor's CRD Number: 6880231

1805 East Franklin Street, Ste 100
Chapel Hill North Carolina 27514

919-360-2537
https://www.eastfranklincapital.com
State Approved
North Carolina
Credentials
CPA
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
403(b)
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Efficient Market Advisors
Experience With Retirement Plans

Firm's CRD Number: 132188

4180 La Jolla Village Drive, Suite 315
La Jolla California 92037

(858) 847-0690
http://www.efficient-portfolios.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFA
Participant Services
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Exchange Traded Funds (ETFs)
Advisor
EisnerAmper Wealth Management & Corporate Benefits
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 121863

Michael Abate, AIF, CRPS
Advisor's CRD Number: 2315733

111 Wood Avenue, Suite 110
Iselin New Jersey 08830

(908) 595-6436
mabate@eawmcb.com https://www.eisneramperwmcb.com

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

State Approved
Connecticut, Florida, New Jersey, New York, Pennsylvania
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
encore401(k)
5 - 10 years Experience With Retirement Plans

8200 Greensboro Drive, Suite 1150
McLean Virginia 22102

(571) 405-3716
http://www.encore401k.com
State Approved
Colorado, Delaware, Maryland, New Hampshire, Pennsylvania, Virginia
Credentials
AIF
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Investment advice - Model portfolios
Other
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
Advisor
Envision Asset Management
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 148451

1856 N Nob Hill Road, Suite 219
Plantation Florida 33322

(954) 288-1193
http://envisionco.net

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

State Approved
Florida
Participant Services
Enrollment support - Onsite
Retirement Services
401(k)
Advisor
ESI Financial Services, Inc.
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 149082

3755 Avocado Blvd., P.O. Box 523
La Mesa California 91941

(619) 328-5054
http://esifinancialservices.com

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

State Approved
California
Advisor
Etzler Financial Advisors, LLC
Experience With Retirement Plans

Firm's CRD Number: 134022

Matthew R. Etzler
Advisor's CRD Number: 1283701

819 Jefferson Street, PO Box 100
Red Bluff California 96080

877-389-5373
info@etzlerfinancial.com https://www.etzlerfinancial.com/
State Approved
California
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
403(b)
Governmental 457(b)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Other
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Everhart Advisors
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 107091

5890 Venture Dr., Suite D
Dublin Ohio 43017

614-717-9705
http://www.everhartadvisors.com

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

State Approved
Ohio
Credentials
AIF
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
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)
Advisor
Everspire
Experience With Retirement Plans

Firm's CRD Number: 222515

9125 Monroe Plaza Way, Suite A
Sandy Utah 84070

801-545-8706
https://www.everspire401k.com/

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

State Approved
California, Idaho, Utah
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Evolution Advisers
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 149615

15521 Midlothian Turnpike
Midlothian Virginia 23113

804-794-1981 x4
http://www.EvoAdvisers.com
State Approved
Virginia
Credentials
AIF
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
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)
Advisor
Fairview Financial, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 122287

6100 Fairview Rd, Ste 1210
Charlotte North Carolina 28210

704-674-5804
http://fairviewfinancial.com

Please refer to our website fairviewfinancial.com

State Approved
North Carolina
Advisor
Fearheller Advisors
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 133010

78228 Allegro Drive
Palm Desert California 92211

760-766-2084
http://www.fearhelleradvisors.com

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

State Approved
California
Credentials
CPA
Other
Participant Services
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Other
Advisor
Fiduciary Wealth Management, LLC
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 157290

The Atrium, Suite 12 , 11250 Roger Bacon Drive
Reston Virginia 20190

703-242-1231
http://www.fidwealthman.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Financial Avenues, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 153458

10133 N Lane Dr
Kansas City Missouri 64157

913-735-7283
http://www.myfinancialavenues.com

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

State Approved
Kansas, Missouri
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
Retirement Services
401(k)
Profit sharing only
Compensation Structure
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
First Bankers Trust Services, Inc.
10 - 20 years Experience With Retirement Plans

First Bankers Trust Services, Inc. 10 - 20 years Experience With Retirement Plans 2321 Kochs Lane
Quincy Illinois 62305

217-221-8657
https://www.fbtservices.com/

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

State Approved
Illinois
Credentials
AIF
Advisor
FixedFee401k
Experience With Retirement Plans

6800 College Boulevard, Suite 630
Overland Park Kansas 66211

913-827-9952
http://www.fixedfee401k.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
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)
Advisor
Fleming Capital Partners
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 154455

1500 S 70th Street, Suite 104
Lincoln Nebraska 68506

312-256-9971
http://www.investfcp.com

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

State Approved
Colorado, Florida, Georgia, Illinois, Nebraska
Credentials
CPA
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
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)
Advisor
FNJ 3, LLC
30 - 35 years Experience With Retirement Plans

Firm's CRD Number: 149809

207 N. View Terrace
Alexandria Virginia 22301

703-836-3653

Single employee business

State Approved
Alabama, Florida, Georgia, Maryland, North Carolina, South Carolina, Tennessee, Texas, Virginia
Credentials
CFP
Participant Services
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Focus Pointe Financial, LLC
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 148114

Lance R. Ray
Advisor's CRD Number: 3066927

704 Streamwood Drive
Holly Springs North Carolina 27540

919-805-3255
lance.ray@focuspointefinancial.com https://focuspointefinancial.com/

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

State Approved
Alabama, Florida, Georgia, Michigan, North Carolina, South Carolina, Tennessee, Ohio
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Plan Sizes
$0 - $100k
$100k - $250k
$1M - $5M
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Fortress Investment Advisors, LLC
Experience With Retirement Plans

Firm's CRD Number: 143969

4640 E Sunrise Dr, Suite 211
Tucson Arizona 85718

520-751-8600
https://www.fortresscompany.com/
State Approved
Arizona
Participant Services
Investment advice - Model portfolios
Plan Sizes
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Advisor
Foster & Wood Investment Fiduciaries
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 165362

Tim Wood
Advisor's CRD Number: 4428218

5 Centerpointe Drive, Suite 400
Lake Oswego Oregon 97035

971-266-3134
tim@fosterandwood.com https://fosterandwood.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Fragasso Financial Advisors
Experience With Retirement Plans

Firm's CRD Number: 123255

610 Smithfield Street
Pittsburgh Pennslyvania 15222

412-227-3249
http://www.fragassoadvisors.com/

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

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

Firm's CRD Number: 168390

250 State Street
Mobile Alabama 36603

251-581-8629
State Approved
Alabama
Plan Sizes
$0 - $100k
Retirement Services
401(k)
Advisor
Full Spectrum Wealth
Experience With Retirement Plans

3920 Birch Street, Suite 103
Newport Beach California 92660

949-476-4585
http://fswealth.com/new/fullspectrumwealth/
State Approved
California, Nevada
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Ganim Financial
30 - 35 years Experience With Retirement Plans

Firm's CRD Number: 285679

Robert Lockery
Advisor's CRD Number: 2687139

2 Enterprise Drive
Shelton Connecticut 06484

203-335-0851
https://www.ganimfinancial.com
State Approved
Connecticut, New York
Credentials
AIF
Participant Services
Investment advice - Model portfolios
Other
Plan Sizes
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Gap Financial Services
Experience With Retirement Plans

Firm's CRD Number: 288703

Jarrod Winkcompleck
Advisor's CRD Number: 3127068

2707 Barton Point Dr.
Austin Texas 78733

512-745-4191
jarrod@gapfinancialservices.com https://gapfinancialservices.com/
State Approved
Texas
Credentials
ChFC
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Garnett Retirement Group
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 172011

Todd Sink
Advisor's CRD Number: 4635245

601 93rd Avenue North
St. Petersburg Florida 33702

813-390-7593
todd@garnettretirement.com https://www.garnettretirementgroup.com

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

State Approved
Florida, Kentucky, North Carolina, South Carolina, Virginia
Credentials
AIF
ChFC
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Target Date Funds (TDFs)
Advisor
Gerstemeier Financial Group, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 127052

4300 Commerce Ct., Suite 300-22
Lisle Illinois 60532

630-420-6601
http://www.g-fg.com/

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

State Approved
Illinois, Ohio
Credentials
CPA
CFP
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Glasgow Partners, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 139607

PO Box 2283
Boothwyn Pennslyvania 19061

610-494-1322
http://www.glasgowpartners.com

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

State Approved
Pennsylvania
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
403(b)
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
GLOBAL WEALTH MANAGEMENT
Experience With Retirement Plans

Firm's CRD Number: 167025

334 E Coast Hwy, #101
Corona Del Mar California 92625

949-436-9518
http://gwmllc.com/
State Approved
California
Credentials
CPA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
Retirement Services
401(k)
Profit sharing only
403(b)
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Gold Medal Waters, Inc.
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 132294

4551 13th Street, Unit C
Boulder Colorado 80304

720-887-1299
http://www.goldmedalwaters.com

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

State Approved
Colorado, Illinois
Credentials
AIF
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Green Retirement, Inc.
Experience With Retirement Plans

Timothy R. Yee
Advisor's CRD Number: 2492578

909 Marina Village Parkway, #587
Alameda California 94501

510-638-6331
timothy@greenretirement.com https://www.greenretirement.com
State Approved
California, Connecticut, Delaware, Florida, Idaho, Maryland, Minnesota, New Jersey, New York, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Greenbush Financial Group
Experience With Retirement Plans

Firm's CRD Number: 125500

75 Troy Road
East Greenbush New York 12061

518-477-6686
http://www.greenbushfinancial.com
State Approved
New York
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Greenlight Retirement Plan Consultants LLC
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 299668

Ian Green, CFA
Advisor's CRD Number: 2532230

55 Longlane Rd
West Hartford Connecticut 06117

(860) 461-1124
info@greenlightrpc.com https://www.GreenlightRPC.com

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

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

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFA
Other
Participant Services
Enrollment support - Onsite
Investment advice - Model portfolios
Other
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Greenspring Advisors, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 132669

501 Fairmount Avenue, Suite 102
Towson Maryland 21286

443-564-4600
https://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.

State Approved
Delaware, Georgia, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Virginia, Washington, West Virginia
Credentials
AIF
CFA
CFP
Participant Services
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Griffin Financial Planning, LLC
Experience With Retirement Plans

Firm's CRD Number: 170930

132 Chief Justice Crushing Hwy, Old Colony Square, Suite #70
Cohasset Massachusetts 02025

781-591-PLAN
http://www.griffinfinancialplanning.com/
State Approved
Massachusetts
Credentials
AIF
CFP
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Guncheon Financial, LLC
Experience With Retirement Plans

Firm's CRD Number: 277091

Kelly Guncheon
Advisor's CRD Number: 5081486

3525 Plymouth Blvd., Suite 109
Plymouth Minnesota 55447

952-449-4467
kelly@guncheonfinancial.com https://www.GUNCHEONFINANCIAL.com/
State Approved
Minnesota
Credentials
ChFC
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
Retirement Services
401(k)
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Guzzetta Financial Associates
Experience With Retirement Plans

13 Genesse St., PO Box 564
Greene New York 13778

607-216-9430
http://www.guzzettafinancial.com/

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

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

State Approved
California, Florida, Maryland, New Jersey, New York, Pennsylvania, Virginia
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
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)
Advisor
Hardy Reed, LLC
Experience With Retirement Plans

Firm's CRD Number: 141024

101 S. Front St.
Tupelo Mississippi 38804

662-823-4722
http://www.hardyreed.com

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

State Approved
Mississippi
Participant Services
Other
Retirement Services
401(k)
Investments Offered
Other
Advisor
Harvest Financial Partners
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 146162

159 W. Lancaster Ave, Suite Three
Paoli Pennslyvania 19301

610-240-4740
http://www.HarvestFP.com

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFA
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
403(b)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Heber Fuger Wendin, Investment Advisors
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 105668

36700 Woodward Avenue, Suite 201
Bloomfield Hills Michigan 48304

248-258-6866
http://www.heberinvestments.com

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

State Approved
Michigan
Credentials
Other
Retirement Services
401(k)
Advisor
Heritage Wealth Management
Experience With Retirement Plans

Firm's CRD Number: 122394

4400 Post Oak Parkway, Suite 2510
Houston Texas 77027

713-871-9800
http://www.heritageplanners.com
State Approved
Florida, New Jersey, New York
Credentials
AIF
Other
CFP
Retirement Services
401(k)
Advisor
HFA401K™
Experience With Retirement Plans

1680 Route 23, Suite 210
Wayne New Jersey 07470

973-557-2933
info@highlandplanning.com http://www.hfa401k.com
State Approved
New Jersey
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
HHM Wealth Advisors, LLC
35+ Experience With Retirement Plans

Firm's CRD Number: 150843

Andrew Cook
Advisor's CRD Number: 6035278

1200 Market Street
Chattanooga Tennessee 37402

423-933-1825
acook@hhmwealth.com https://hhmwealth.com//

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

State Approved
Alabama, Florida, Georgia, North Carolina, Tennessee, Texas, Virginia
Credentials
AIF
CFP
Participant Services
Enrollment support - Onsite
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Other
Advisor
Illumination Wealth Management
5 - 10 years Experience With Retirement Plans

8400 Miramar Rd., Suite 203A
San Diego California 92126

858-246-6855
http://www.illuminationwealth.com

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

State 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)
Advisor
Insight Financial Solutions / LPL Financial
Experience With Retirement Plans

2793 Skyline Court, Suite D
Grand Junction Colorado 81506

970-986-4503
http://www.investindependently.com/
State Approved
Arizona, California, Colorado, New Mexico, Utah, Wyoming
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Inspired Financial Planners, LLC
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 305122

Tricia Kollath
Advisor's CRD Number: 5512242

P.O. Box 698
Ocean Springs Mississippi 39566

228-200-8750
tkollath@inspiredfin.com https://www.inspiredfin.com

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

  • We act as a liaison between all moving parts of the plan - Plan Sponsor, TPA, Recordkeeper, custodian, payroll provider, CPA, etc.
  • Meet with participants individually at least twice per year on-site or virtually
  • Provides general financial & investment education to participants on an as needed basis
  • Manages investment options within the plan
  • Keeps up with participant eligibility
  • Notifies newly-eligible participants and enrolls in the plan
  • Sends out required annual notices to participants
  • Conducts periodic contribution review
  • Provides guidance to Plan Sponsor
  • Meets with Plan Sponsor annually to review investments and plan design
  • Facilitates participant distributions
  • Rebalances participant accounts upon request
  • Follows up with TPA/Recordkeeper on outstanding items
  • Stays current on new laws and regulations
State Approved
Louisiana, Mississippi, North Carolina
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Advisor
Integra Wealth LLC
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 149999

David A. Hodges
Advisor's CRD Number: 4508507

871 McCallie Ave., Ste. 100
Chattanooga Tennessee 37403

423-664-0344
david@integrawealth.com https://www.integrawealth.com
State Approved
Alabama, Georgia, Tennessee
Credentials
CFP
Participant Services
Enrollment support - Online
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Integrated Financial Planning Solutions, LLC
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 153824

203 South Main St., Suite 2A
Goshen Indiana 46526

574-975-3682
http://www.integratedfps.com

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

State Approved
Indiana
Credentials
ChFC
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Compensation Structure
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Integrity Capital Mangement
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 142693

444 Clinchfield St Ste 302
Kingsport Tennessee 37660

423-230-4500
http://www.retirewithicm.com

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

State Approved
North Carolina, Tennessee, Virginia
Credentials
AIF
Other
CFP
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)
Advisor
Investors Asset Management
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 106796

7000 Peachtree Dunwoody Road, Bldg. 9, Suite 200
Atlanta Georgia 30328

770-394-5619
http://www.investorsassetmanagement.com

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

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

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

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
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)
Advisor
iQ401k
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 117499

Virajith Wijeweera
Advisor's CRD Number: 5611570

3525 North Causeway Blvd., Suite 633
Metairie Louisiana 70002

888-401k-375
Info@iQ401k.com https://www.iQ401k.com

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

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Fixed Amount
Fee Only - Hourly
Other
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Iron Horse Wealth Management
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 165164

Greg Hayes
Advisor's CRD Number: 6588892

8711 Windsor Pkway Unit 4
Johnston Iowa 50131

515-249-3729
ghayes@ironhorsewm.com https://www.ironhorsewm.com
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Jackson Financial Management
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 108029

151 Kalmus Drive, Suite H-7
Costa Mesa California 92626

714-434-6900
http://jfmcorp.com/

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

State Approved
California
Compensation Structure
Other
Advisor
Jim MacKay Financial Planning
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 169583

3039 S Fort Ave, Suite A
Springfield Missouri 65807

417-268-9191
http://www.mackayfinancialplanning.com

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

State 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)
Advisor
Kane Investment Management Inc.
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 127337

15466 Los Gatos Boulevard, Suite 213
Los Gatos California 95032

800-644-5263
http://www.kaneinvestment.com/

We are an asset based - fee only investment adviser.

State Approved
California
Credentials
Other
Participant Services
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
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)
Advisor
KerberRose Wealth Management, LLC
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 168787

115 E Fifth Street
Shawano Wisconsin 54166

715-524-6626
http://www.kerberrosewealth.com

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

State Approved
Wisconsin
Credentials
Other
Compensation Structure
Commissions
Advisor
Keshemberg Advisory, Ltd
10 - 20 years Experience With Retirement Plans

701 Fourth Avenue South, Suite 1500
Minneapolis Minnesota 55415

920-205-4381
http://www.keshemberg.com/

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

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

Firm's CRD Number: 129301

6849 Peachtree Dunwoody Rd, Building B2
Atlanta Georgia 30328

770-698-9816
http://keystonefg.com/
State Approved
Alabama, Georgia
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Leavell Investment Management, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 107890

2712 18th Place South,
Birmingham Alabama 35209

(205) 588-2177
http://www.leavellinvestments.com/
State 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)
Advisor
Leavell Investment Management, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 107890

210 St. Joseph Street
Mobile Alabama 36602

(251) 434-2521
http://www.leavellinvestments.com/
State 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)
Advisor
Lewer Financial Advisors
Experience With Retirement Plans

Greg Addison
9900 W. 109th, Suite 200
Overland Park Kansas 66210

(816) 360-7942
GAddison@Lewer.com https://www.lewerfinancialadvisors.com
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Litovsky Asset Management
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 147647

1715 Towering Oak Dr,
Sarasota Florida 34232

508-292-8380
http://litovskymanagement.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
Other
Participant Services
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Advisor
LPL Financial
Experience With Retirement Plans

Firm's CRD Number: 6413

David Duncan
Advisor's CRD Number: 6027905

1117 Perimeter Center West , Suite E201
Atlanta Georgia 30338

678-578-6109
david.duncan@lpl.com https://www.montereywealth.com
State Approved
Florida, Georgia, Missouri, Ohio
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
Retirement Services
401(k)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Majors & Mondragon
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 282477

118 Vintage Park Blvd. #W-452,
Houston Texas 77070

888-215-5888 ext. 5
http://www.mm-retirement.com
State Approved
Texas
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
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)
Advisor
McGervey Wealth Management
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 151969

6263 Frank Avenue, NW,
North Canton Ohio 44720

330-966-2100
http://www.mcgerveywealth.com
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
Other
CFP
Participant Services
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Other
Advisor
McGriff, Seibels & Williams
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 25803

J. Robert Elder
Advisor's CRD Number: 4210203

3400 Overton Park Drive, Suite 300
Atlanta Georgia 30339

404-847-1663
relder@mcgriff.com https://www.mcgriff.com

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

State Approved
Alabama, Georgia, Mississippi, South Carolina, Texas
Credentials
AIF
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Retirement Services
401(k)
403(b)
Taxexempt 457(b)
Other defined benefit
409(A)
Compensation Structure
Commissions
Fee Only - Asset Based
Fee Only - Fixed Amount
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
McLaughlin Asset Management
Experience With Retirement Plans

Firm's CRD Number: 125735

20 East Redman Ave
Haddonfield New Jersey 08033

856-216-8444 x223
http://www.mclaughlinassetmgmt.com/
State Approved
Delaware, New Jersey, Pennsylvania
Credentials
AIF
QPFC
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
Compensation Structure
Commissions
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Medallion Wealth Advisors, LLC
Experience With Retirement Plans

Firm's CRD Number: 156064

Matthew Woods Weber, CFP
Advisor's CRD Number: 5244285

2 Bridgewater Road, Suite 104
Farmington Connecticut 06032

860-471-8902
mwoodsweber@medallionwealth,com https://www.medallionwealth.com
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Meritage Wealth Advisory
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 147969

2777 Yulupa Ave. #226
Santa Rosa California 95405

707-755-3587
http://www.meritage-wealth.com/solutions/401k/
State Approved
California
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Cash Balance
Compensation Structure
Fee Only - Fixed Amount
Other
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Other
Advisor
MidAtlantic Capital Management, Inc.
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 116524

11448 Robious Rd
Richmond Virginia 23235

(804) 272-9104
http://www.midatlantic-capital.com
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
409(A)
Compensation Structure
Fee Only - Asset Based
Other
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Other
Advisor
Minder Planning Group, LLC
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 150447

498 Reid Rd., Suite 7
Grand Blanc Michigan 48439

810-309-2321
http://minderplanninggroup.com/
State Approved
Michigan, Texas
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Mitchell, McLeod, Pugh & Williams, Inc.
35+ Experience With Retirement Plans

Firm's CRD Number: 138240

2610 Dauphin Street
Mobile Alabama 36606

251-471-2027
info@mmpw.com http://mmpw.com/retirement-plan-consulting/
State Approved
Alabama, Florida, Georgia, Louisiana, Mississippi, North Carolina, Texas, Virginia
Advisor
Modern Dollar Planning LLC
Experience With Retirement Plans

Firm's CRD Number: 174695

20 S. Sarah Street
St. Louis Missouri 63108

314-827-5852
https://www.modern-dollar.com/
State Approved
Illinois, Missouri, Texas
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
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
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Target Date Funds (TDFs)
Advisor
Money Intel
Experience With Retirement Plans

Firm's CRD Number: 164597

1601 S De Anza Blvd, Suite 118
Cupertino California 95014

408-656-4853
https://moneyintel.com/
State Approved
California, Illinois, Missouri
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Target Date Funds (TDFs)
Advisor
Morgan Stanley
Experience With Retirement Plans

Firm's CRD Number: 149777

2700 Patriot Blvd, Suite 150
Glenview Illinois 60026

847-441-3677
http://www.morganstanleyfa.com/theriverfallsgroup/
State Approved
Arizona, California, Colorado, Florida, Idaho, Illinois, Kansas, Kentucky, Maine, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Washington, Wisconsin, Ohio
Credentials
Other
Advisor
Morgan Stanley
Experience With Retirement Plans

Firm's CRD Number: 149777

Stephen Riddle
Advisor's CRD Number: 4850123

300 Market Street, NE Suite 101
Decatur Alabama 35601

256-552-9452
http://www.morganstanleyfa.com/stephen.riddle
State Approved
Alabama
Plan Sizes
$0 - $100k
Retirement Services
401(k)
Compensation Structure
Commissions
Advisor
Morgan Stanley
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 149777

Thomas Adent II
Advisor's CRD Number: 6287733

7530 Parker Road,
Fairhope Alabama 36532

251-990-2955
http://www.morganstanleyfa.com/thomas.adent.ii/
State Approved
Alabama
Advisor
Mountain View Financial Advisors
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 297765

Micah Landis
Advisor's CRD Number: 5606338

10161 Park Run Dr., Suite 150
Las Vegas Nevada 89145

702-802-3400
mlandis@mountainviewfa.com https://mountainviewfinancialadvisors.com/
Law firm retirement plan advisory firm. Fee only, fiduciary, and high touch service that is designed to cater to the unique needs of law firms. We deliver additional value to plan sponsors through dedicated advisor relationships, expert plan design and improved recruiting/retention with participant financial wellness programs. 

Financially confident employees are more productive and loyal. We promote financial wellness by providing access to one on one financial planning sessions, goal tracking, educational webinars, annual comprehensive portfolio analysis, and semi-annual personal review meetings.

Our goal is to add more value to your retirement plan benefits. Your success is our success. 
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
ChFC
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$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
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Newbridge Wealth Management, LLC
Experience With Retirement Plans

Firm's CRD Number: 169239

Vincent R Barbera
Advisor's CRD Number: 4555357

1055 Westlakes Drive, Ste 300
Berwyn Pennslyvania 19312

610-727-3960
partners@newbridgewealth.com https://www.newbridgewealth.com
State Approved
New Jersey, Pennsylvania, Texas
Credentials
CFA
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Northeast Advisers, Inc.
Experience With Retirement Plans

Firm's CRD Number: 108835

Michael Devine
Advisor's CRD Number: 1991691

163 W. Lancaster Ave., Suite 101
Paoli Pennslyvania 19301

610-240-7955 / 800-971-7039
advice@northeastadvisers.com https://www.northeastadvisers.com/
State Approved
California, Delaware, Florida, New Jersey, Pennsylvania, Texas
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Norwood Economics, Inc.
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 282079

1686 James Blvd,
Greenfield Indiana 46140

317-590-9095
https://www.norwoodecon.com/
State Approved
Indiana
Advisor
Note Advisors, LLC
Experience With Retirement Plans

Firm's CRD Number: 171466

50 Lakefront Blvd., Suite 215
Buffalo New York 14202

716-256-1682
https://www.noteadvisor.com
State Approved
California, Florida, Montana, New York, Pennsylvania, Texas, Virginia
Credentials
AIF
ChFC
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
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)
Advisor
Nowlin & Associates
10 - 20 years Experience With Retirement Plans

2718 20th St. S.,
Birmingham Alabama 35209

205-292-7460
https://www.nowlinwm.com/
State Approved
Alabama, Georgia, Mississippi, South Carolina, Tennessee, Texas
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Hourly
Investments Offered
Actively-managed mutual funds
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Oak Street Advisors
Experience With Retirement Plans

Firm's CRD Number: 139400

1335 44th Ave. N, Suite 201
Myrtle Beach South Carolina 29577

843-946-9868
http://www.oakadvisors.com/
State Approved
Georgia, North Carolina, South Carolina
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
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
Advisor
Oak Street Advisors
Experience With Retirement Plans

Firm's CRD Number: 139400

222 West Coleman Blvd, Suite 115
Mt. Pleasant South Carolina 29464

843-901-7778
http://www.oakadvisors.com/
State Approved
Georgia, North Carolina, South Carolina
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
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)
Advisor
Old North State Trust, LLC
10 - 20 years Experience With Retirement Plans

Sam Soots
1250 Revolution Mill Dr, Suite 152
Greensboro North Carolina 27405

336-339-6882
ssoots@trustonst.com https://www.oldnorthstatetrust.com/

We serve as a 3(38) Investment Manager, removing all investment liability from our clients. We concentrate on providing the best plan structure to meet the needs of the business owner while focusing on participant education and service.

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
AIF
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
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)
Advisor
One Day In July LLC
Experience With Retirement Plans

Firm's CRD Number: 284335

Dan Cunningham
Advisor's CRD Number: 6676005

77 College St. #3A
Burlington Vermont 05401

802-881-9020
dan@onedayinjuly.com https://www.onedayinjuly.com/
State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
Other
Participant Services
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
Other
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Orchid Wealth Management
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 283963

Seth Swenson
Advisor's CRD Number: 5330124

970 Palo Alto Ave.
Palo Alto California 94301

(650) 334-6104
seth@orchidwealthmanagement.com http://www.orchidwealthmanagement.com/

Fee-Only Financial Advisory, no third party commissions. Abides by the fiduciary standard.

State Approved
California
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
403(b)
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)
Advisor
Oriole Advisors, LLC
Experience With Retirement Plans

Firm's CRD Number: 284077

1320 Willow Pass Road, Suite 600
Concord California 94520

925-494-3555
http://orioleadvisors.com/
State Approved
California
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Compensation Structure
Fee Only - Asset Based
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)
Advisor
Orlando 401k Specialists
Experience With Retirement Plans

661 Highland Drive, Suite 4
Altamonte Springs Florida 32701

407-924-7950
http://www.orlando401kspecialists.com
State Approved
Florida
Retirement Services
401(k)
403(b)
Governmental 457(b)
Cash Balance
Other defined benefit
Advisor
Osage Pacific Advisors, Inc.
30 - 35 years Experience With Retirement Plans

Firm's CRD Number: 284257

9206 NE Juanita Drive, #C-6,
Kirkland Washington 98034

800-536-7776
http://f500advisory.com
State Approved
Washington
Advisor
Palisade Investments
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 124776

2903 199th PL SE
Bothell Washington 98012

425-489-7868
http://www.palisadeinvestments.com/

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

State Approved
Washington
Retirement Services
401(k)
Advisor
Paradigm Financial Partners
30 - 35 years Experience With Retirement Plans

Firm's CRD Number: 292182

315 Post Road West, 2nd Floor, 2nd Floor
Westport Connecticut 06880

203-635-4126
http://www.pfpartners.com

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

State Approved
Connecticut
Credentials
AIF
Advisor
Paramount Investment Advisors
Experience With Retirement Plans

Firm's CRD Number: 146217

3449 Lawrenceville Suwanee Road, Suite E
Suwanee Georgia 30024

(678) 865-4227
http://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

State Approved
Georgia
Advisor
Paul D. Sippil & Associates, LLC
Experience With Retirement Plans

Firm's CRD Number: 154656

65 E. Scott St, 5N
Chicago Illinois 60610

847-732-2968
http://paulsippil.com/
State Approved
Illinois, Wisconsin
Credentials
CPA
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Compensation Structure
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Self Directed Brokerage Accounts (SDBAs)
Model Portfolios
Advisor
Perk Planning
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 166369

1 N. Pinckney St, Suite 200
Madison Wisconsin 53703

608-628-8730
http://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.

State Approved
Wisconsin
Credentials
CFP
Participant Services
Enrollment support - Online
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Compensation Structure
Fee Only - Hourly
Advisor
Peterson Wealth Advisory
Experience With Retirement Plans

Firm's CRD Number: 148303

186 Hwy 70 E
Crossville Tennessee 38555

931-337-1458
https://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.

State Approved
Florida, Tennessee, Washington
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
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)
Advisor
Picket Fence Financial
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 139262

512 Baltimore Pike
Bel Air Maryland 21014

410-878-2999
http://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.

State Approved
Florida, Maryland
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
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)
Advisor
Picket Fence Financial
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 139262

2706 Alt. 19 North
Palm Harbor Florida 34683

https://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.

State Approved
Florida, Maryland
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
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)
Advisor
Pierce Financial
Experience With Retirement Plans

6465 N. Quail Hollow, Suite 200
Memphis Tennessee 38120

901-271-3720
http://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

State Approved
Tennessee
Advisor
Pinehurst Capital
Experience With Retirement Plans

Firm's CRD Number: 171964

100 Magnolia Road, 3rd Floor
Pinehurst North Carolina 28374

910-235-4140
https://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.

State Approved
North Carolina
Credentials
ChFC
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Other
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
Cash Balance
Other defined benefit
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)
Advisor
Pivotal Financial Services, Inc.
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 143846

14 Pimlico Drive
Commack New York 11725

631-486-8128 x201
http://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.

State Approved
New York
Advisor
Plan Sponsor Consultants (LPL Financial)
Experience With Retirement Plans

354 W. Delwood Dr., Ste B
Mobile Alabama 36606

251-544-2400
http://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.

State Approved
Alabama
Advisor
PlanVision
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 166311

17400 25th Ave N
Plymouth Minnesota 55447

612-965-4286
http://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.

State Approved
Minnesota
Credentials
AIF
Advisor
Private Wealth Management of North Carolina
0 - 5 years Experience With Retirement Plans

Firm's CRD Number: 149889

129 W. Belle St.
Henderson North Carolina 27536

252-492-8694 ext. 3
http://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.

State Approved
North Carolina
Credentials
Other
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
Advisor
Profolio Investments
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 173241

121 Newark Ave Suite 544
Jersey City New Jersey 07306

844-855-2584
http://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.

State Approved
New Jersey
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
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)
Advisor
Promontory Financial Planning
Experience With Retirement Plans

Firm's CRD Number: 153666

240 N. East Promontory, Suite 200
Farmington Utah 84025

801-791-1081
http://www.promontoryfp.com/
State Approved
Arizona, California, Colorado, Idaho, Utah
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
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)
Advisor
Providus Advisors
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 136182

1490 S. Price Rd. Suite 303
Chandler Arizona 85286

480-704-3024
http://www.a-better-401k.com

Please visit our website to learn more.

State Approved
Arizona
Credentials
AIF
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
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)
Advisor
Purtill Financial LLC
5 - 10 years Experience With Retirement Plans

Firm's CRD Number: 133764

22 Alpha Park
Highland Heights Ohio 44143

440-484-5340
http://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.

State Approved
Ohio
Participant Services
Enrollment support - Onsite
Retirement Services
401(k)
Advisor
PWMG 401(K) ADVISORS
10 - 20 years Experience With Retirement Plans

11 Foster Street, Suite 200
Worcester Massachusetts 01608

877-712-2263
http://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.

State Approved
Massachusetts
Advisor
QBOX Fiduciary Solutions LLC
Experience With Retirement Plans

Firm's CRD Number: 167622

3601 Hobson Rd, Suite 202
Fort Wayne Indiana 46815

260-918-4108
http://www.qboxfs.com/
State Approved
Arizona, California, Georgia, Indiana, New Hampshire, New York, Texas, Utah, Washington
Credentials
AIF
Participant Services
Enrollment support - Online
Investment advice - Model portfolios
Other
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)
Advisor
Raffa Retirement Services
Experience With Retirement Plans

1445 Research Blvd., #340
Rockville Maryland 20850

240-403-2550
http://www.raffaretirement.com/
State 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
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
Advisor
Rathbone Warwick Investment Management
20 - 30 years Experience With Retirement Plans

Firm's CRD Number: 282707

101 S. Capitol Boulevard, Suite 1201
Boise Idaho 83702

208-297-5445
http://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.

State Approved
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming, Ohio
Credentials
CFA
Participant Services
Enrollment support - Onsite
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
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)
Advisor
Raymond James Financial Services
20 - 30 years Experience With Retirement Plans

4316 Old Canton Rd., Suite 100-B
Jackson Mississippi 39211

601-366-4050
http://www.raymondjames.com/ms

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

State Approved
Mississippi
Advisor
Reef Wealth Management
10 - 20 years Experience With Retirement Plans

32107 Lindero Canyon Rd, Suite 106
Westlake Village California 91361

310-529-6069
http://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.

State Approved
California, Missouri, North Carolina, Pennsylvania, Texas
Credentials
AIF
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
Cash Balance
Other defined benefit
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Other
Advisor
Results Wealth Management, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 153089

513 Sang Saloon Rd
Cedar Park Texas 78613

512-568-6477
http://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.

State Approved
Texas
Advisor
Retire Right Planning, LLC
Experience With Retirement Plans

Firm's CRD Number: 165272

PO Box 15
Silverthorne Colorado 80498

720-515-1066
http://retirerightplanning.com/
State Approved
Colorado
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Compensation Structure
Fee Only - Asset Based
Investments Offered
Passively-managed (index) mutual funds
Exchange Traded Funds (ETFs)
Model Portfolios
Target Date Funds (TDFs)
Advisor
Retirement Consulting Services, Inc.
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 114549

16475 Dallas Parkway, Suite 615
Addison Texas 75001

972-248-1500
http://www.retirementconsultingservices.com

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

State Approved
Texas
Advisor
Retirement Funding Advisors, LLC
Experience With Retirement Plans

Firm's CRD Number: 148891

400 Pettigru Street (29601), P.O. Box 17262
Greenville South Carolina 29606

864-252-4694
http://retirementfa.com/
State Approved
Florida, Georgia, North Carolina, South Carolina
Credentials
Other
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
403(b)
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)
Advisor
Retirement Plan Advisors
10 - 20 years Experience With Retirement Plans

117 E Fifth Street
Shawano Wisconsin 54166

715-524-6626
http://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

State Approved
California, Michigan, Washington, Wisconsin
Credentials
AIF
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
$5M - $20M
$20M+
Retirement Services
401(k)
Profit sharing only
403(b)
Taxexempt 457(b)
Governmental 457(b)
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)
Advisor
Rockwood Wealth Management
10 - 20 years Experience With Retirement Plans

130 Admiral Cochrane Drive, Suite 200
Annapolis Maryland 21401

410-224-0097
http://www.rockwoodwealth.com/

We ensure Trustees fulfill their fiduciary obligation to the plan.

State Approved
Maryland, Virginia
Credentials
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
Profit sharing only
Compensation Structure
Fee Only - Asset Based
Fee Only - Fixed Amount
Investments Offered
Passively-managed (index) mutual funds
Model Portfolios
Advisor
Rogers Wealth Planning
30 - 35 years Experience With Retirement Plans

1337 Howe Avenue, Suite 250
Sacramento California 95825

916-485-3473
http://www.rogerswealthplanning

Please visit our website at www.rogerswealthplanning.com

State Approved
California
Advisor
Rosemont Financial Group
10 - 20 years Experience With Retirement Plans

18 Corporate Woods Blvd, Floor#3
Albany New York 12211

518-621-7173
http://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.

State 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)
Advisor
RSD Financial, LLC
5 - 10 years Experience With Retirement Plans

8850 Columbia 100 Parkway, Suite 306
Columbia Maryland 21045

410-992-4904
http://www.rsdfinancial.com

Please contact me for a introductory meeting

State Approved
Maryland
Advisor
Sage Advisors LLC
5 - 10 years Experience With Retirement Plans

1200 Fifth Avenue, Suite 830
Seattle Washington 98101

206-516-7997
http://www.sageadvisorsllc.com/

Sage Advisors manages a broad variety of retirement plans. Sage specializes in participant education and monitoring.

State Approved
California, Colorado, Hawaii, Montana, Nebraska, Oregon, Virginia, Washington
Credentials
Other
CFP
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment Support - One-on-one
Investment advice - Model portfolios
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
Retirement Services
401(k)
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
Advisor
Salvini Financial Planning
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 138087

30 San Miguel Street, P.O. Box 102
Avila Beach California 93424

805-543-6622
http://www.salvinifinancial.com

Salvini Financial Planning is a Registered Investment Advisory firm located in Avila Beach, California. Salvini Financial Planning is proud to offer fee-only, hourly objective advice. We do not sell any products, nor do we require any minimums. We can help to create a customized plan that will be as unique as your company is. We are professional financial planners and financial advisors who are interested in building a relationship with you personally, and not just your money alone.

State Approved
California
Advisor
Sapling Wealth Management, LLC
10 - 20 years Experience With Retirement Plans

Firm's CRD Number: 155361

William G. Hicks
Advisor's CRD Number: 1546599

2212 Queen Anne Ave North, #126
Seattle Washington 98109

206-281-4055
will@saplingwealth.com https://www.saplingwealth.com

Sapling Wealth Management crafts financial solutions that work for small businesses, and we deliver our services with honesty & integrity.

Sapling Wealth Management, LLC is an independent investment firm, based in Washington State, that specializes in 401(k) advisory services. Our ideal client values investment advice & service and aims to make their financial world better with thoughtful financial decisions. We believe the best 401(k) service combines face-to-face & remote support, which helps build trust and while supporting ease-of-use.

Unlike many other investment advisers, 401(k) plan management is a significant part of Sapling Wealth Management's business. Will Hicks, Managing Director, is an Accredited Investment Fiduciary (AIF) - a designation indicating his subspecialty focus on 40(k)s.

For more information to quickly understand how we serve small businesses, please go our website for more information and to watch our short video (1:53).

State Approved
Washington
Credentials
AIF
Participant Services
Enrollment support - Onsite
Enrollment support - Online
Enrollment support - Phone
Enrollment Support - One-on-one
Plan Sizes
$0 - $100k
$100k - $250k
$250k - $500k
$500k - $1M
$1M - $5M
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