401(k) Solutions

Retirement Plan Fact Finder



Many of my clients are Plan Sponsors who are looking to work with a Financial Advisor who specializes in Retirement Plans in order to provide a well structured plan that may fit their particular situation.

The Retirement Plan market is constantly changing with new rules and regulations, as well as changing needs of the plan and participants. My role is to design a platform that will be cost effective, offer diversified investment platforms, and service the account using a predetermined servicing model.

I am not offering one strategy or provider to my clients. Through Stifel, I can offer many of the major providers in the 401(k) market or custom design a plan platform specifically to my clients' needs.

My clients can be assured that I am keeping up with the ever-changing rules and plan structures in order for them to feel comfortable that their plan is functioning in compliance and offering their employees the best tools in which to save for their goal – retirement. This can lead to lessened fiduciary liability but increased perceived value of one of the primary benefits the company offers – their retirement plan.


My Process


  • Hold Initial Meeting
  • Discover Specific Needs and issues unique to the Plan and Participants from Plan Sponsor
  • Survey Employees using a Risk Assessment Worksheet
  • Review Survey Responses
  • Compile Strategies utilizing existing Plan features and Platform or Propose alternate Plan Providers
  • Present Strategies to Plan Sponsor
  • Implement Strategies
  • Review Plan Annually with Plan Sponsor
  • Support Plan with Service Proposal
  • Conduct Employee Meetings both Educational and Enrollment