Investment Management

Our investment team consists of four highly qualified CFA charterholders who have expertise in all aspects of investment management, pension planning, and 401(k) consulting for corporations. Together with our 401(k) advisors, they conduct a rigorous three-part process to determine the optimal investment strategy for your employee retirement plan, based on your specific business and financial goals. As a fiduciary, we put your interests first.

Research and Analysis

We review all the investment options available at the 401(k) record-keeper using a proprietary screening process. During our comprehensive fund/manager screening process for each fund, we:

  • Interview members of the fund management team
  • Compile and review more than 30 pages of data for each qualifying fund
  • Rank each fund/manager using our internal ranking process


Our investment team writes, implements, and executes the strategy of your corporate retirement plan’s Investment Policy Statement (IPS) and monitors the performance of the plan’s fund lineup on a daily basis as documented in the IPS. When funds are in violation of the IPS, appropriate recommendations for fund changes are presented to the Investment Committee with a detailed investment analysis of the underperforming fund. During our ongoing monitoring process, we:

  • Triple-benchmark investments using a variety of industry-leading third-party tools
  • Participate in monthly and quarterly fund conference calls
  • Conduct discussions with fund management team members when needed
  • Hold internal quarterly fund review meetings
  • Prepare performance comparison reports
  • Create detailed summary analyses of underperforming funds


As an independent Registered Investment Adviser (RIA), we can work with any custodian, asset manager, trustee, 401(k) record-keeper, or other service provider without any conflicts of interest. We conduct a thorough review of the available investments offered by your provider of choice and prepare a recommended fund lineup that best satisfies the needs of your corporation. This may include:

  • Single-asset class funds (active and/or passive)
  • Lifestyle (risk-based) funds
  • Lifecycle (target date) funds
  • Alternative investment options
  • Self-directed brokerage accounts