The designation of an Independent Named Fiduciary focuses on the responsibility and liability for proper management and operation of a plan for the benefit of the participants and the plan sponsor.
ERISA Named Fiduciary and/or Registered Investment Advisor: Currently serve 84 plan sponsors with an amount approximating $1.5 billion in plan assets under management
ERISA Named Fiduciary: Served over $800 million in plan assets, 80 plan sponsors, and 12,000 defined benefit plan and defined contribution plan participants (2008-2010)
Registered Investment Advisor: Served over $1 billion in plan assets under management, 400 plan sponsors and 100,000 401(k) plan participants (1993-2010)
Registered Representative: Served over $300 million in plan assets under representation, 150 plan sponsors and 15,000 401(k) plan participants (1990-2010)
Third Party Administrator: Served over $2.2 billion in plan assets under recordkeeping management and 850 pension plan and 401(k) plan sponsors (1987-2010)
ERISA Legal Counsel: Served over 850 defined benefit, defined contribution, 401(k), employee stock ownership, 403(b) and non-qualified plan sponsors (1988-2008)
Fidelity Institutional Client: Founding Member, Fidelity Investment Advisor Council (1995-2008); Negotiated favorable plan expense reimbursements for qualifying 401(k) plans (1998-2010); entrusted over $1 billion in client plan assets to Fidelity (1995-2010)
Schwab Institutional Client: Member, Schwab Retirement Plan Advisory Board (1999-2003); entrusted over $300 million in client plan assets to Schwab (1998-2010)
Nationwide General Agent: Member, Pinnacle Preferred Plan Administrator (1997-2002); entrusted over $300 million in client plan assets to Nationwide (1990-2010)
Matrix Financial Institutional Client: Member, Matrix Financial Solutions Executive Summit (1998-2002); entrusted over $100 million in client plan assets to Matrix (1997-2010)
Greenberg Traurig, LLP: Certified Participant, Fiduciary Audit® Protection Program to document plan compliance and fiduciary processes for plan sponsors (1998-2010)
Corbel SunGard Client: Member, SunGard Executive Forum (2002-2004); Client, document generation, Relius recordkeeping and business continuity services (1984-2010)
BDO Seidman, LLP Client: Client, Statement on Auditing Standards No. 70, Level II Report; Independent Audit of Internal Controls for Recordkeeping Processes (2002-2008)