Retirement Plan Sponsor Services | SWBC
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Retirement Plan Sponsor Services

The standard for professional responsibility has been set by ERISA, and our objective is to act as an advocate to ensure that all retirement plan sponsors are meeting their obligations either through internal controls or the engagement of a specialist like SWBC.

Our services are attractive to employers who are committed to the best interests of their employees, while also protecting their company and those individuals responsible for managing this benefit from corporate and personal risk. Our passion lies in providing custom solutions to help our clients address the impact of a changing marketplace on plan participants, offering sound advice, instilling proactive due diligence practices, and providing the expertise to successfully navigate retirement plan issues.

WE OFFER RETIREMENT PLAN SPONSOR SERVICESFOR ALL TYPES OF PLANS

 

401(k)

 

Defined Benefit Plan

 

Non-Qualified Plans

 

403(b)

 

Money Purchase Pension Plans

 

We act as an advocate to our plan sponsors by evaluating the current state of the plan and providing specific advice to guide plan success. Participants benefit from employee engagement programs and a plan designed to provide them with the highest probability of success.

OUR SINGULAR FOCUS ALLOWS US TO OFFER TOOLS TO HELP YOU LIMIT RISK

Fiduciary Responsibility

We accept professional responsibility for our recommendations as defined for plan fiduciaries by law.

Quarterly Investment Monitoring

We provide a quarterly review, including written recommendations, to ensure investment selections continue to meet the rigorous parameters that justified their initial selection.

Fee-Based Services

We provide transparent, fee-based advisory services. We do not receive additional revenue of any kind.

Tackling Conflicts of Interest

We actively seek to mitigate all real or perceived conflicts of interest. 

An Investment Policy Statement (IPS)

We review and update our clients’ IPS documents on an ongoing basis to ensure they remain in line with industry best practices.

We Take Pride in ProvidingEFFECTIVE SOLUTIONS FOR PLAN MANAGEMENT

Professional Responsibility

By providing both 3(21) and 3(38) fiduciary services, we meet the requirements of professional responsibility and we strive to exceed them in every way as we assist our clients to remain protected from liability for investment decisions.

Investments

We can help to not only evaluate your current plan but also provide ongoing detailed analysis and monitoring that is key to success.

Cost Management

We provide services to benchmark fees, negotiate vendor pricing, and implement fee neutrality, all while you remain with your current recordkeeper.

Advisory services are provided by SWBC Investment Advisory Services LLC. SWBC Investment Advisory Services LLC is registered with the U.S. Securities and Exchange Commission (SEC) and only transacts business in the U.S. in states where it is properly notice filed or is excluded or exempted from registration requirements. Registration as an investment advisor does not constitute an endorsement of the firm by the SEC or any other securities regulator and does not mean the advisor has attained a particular level of skill or ability.  Information on this website is not an offer to buy or sell, or a solicitation of any offer to buy or sell any securities.  Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client's investment portfolio.

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