Conversion and Installation Services

We can assist you by helping coordinate all aspects of your new retirement plan's conversion and installation. We focus on the critical areas of investments, fiduciary responsibilities and employee education to help plan for your future retirements.


  • To enhance the suitability of your retirements plan's investment menu.
  • To help you identify and monitor the fiduciary risks that could affect your plan.
  • To optimize employee participation and education


  • Review investment policy statement (IPS) that is mandated under ERISA (an IPS is a document that clearly and understandably sets forth the investment goals and objectives of the plan, including the methods used by the plan sponsor and plan trustee(s) in the routine management of the plan assets.
  • Assess investment performance to help maximize potential growth in up markets, and mitigate your risk in down cycles
  • Review investment menu and providers
  • Implement an IPS which is required by the DOL
  • Select alternatives to address over or under concentration
  • Refine investment menu by:
    • Considering adding new investment categories
    • Eliminating or replacing underperforming investments
    • Eliminating or replacing underperforming investments


  • Elect to comply with 404(c) (A safe Harbor that is granted when it can be reasonably assured that participants are enabled to make informed investment decisions, when investing their plan assets)
  • Review 404(c) compliance
  • Assess fidelity bonding
  • Assess fiduciary liability insurance


  • Assess current employee education program
  • Plan and implement a customized employee education program

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