Modern Wealth Management

Retirement Plan Advisors

Fiduciary Consulting

We help our plan sponsor clients as they address the requirements of both The Employee Retirement Income Security Act of 1974 (ERISA) and the Department of Labor (DOL) regulations and standards.

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Fiduciary Risk Management

Fiduciaries may be personally liable for plan losses if their actions do not meet the standard of care provided under ERISA. However, fiduciaries can limit their liability in certain situations.

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3(21) Co-Fiduciary

Modern Wealth Management, as a 3(21) investment advisor and co-fiduciary, follows a rigorous process to assist sponsors in fulfilling their duties as a fiduciary in selecting and monitoring the investment options in their qualified plans.

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3(38) Investment Manager

Choosing to outsource complex investment decisions by appointing a 3(38) fiduciary can be a smart decision by plan sponsors, especially when they want to save time for in-house staff and manage risk by seeking to ensure plans are fully compliant with relevant regulations.

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Provider Service and Fee Benchmarking

Understanding and uncovering all of the fees and commissions that the employer or plan participants pay for each plan service can be complicated and confusing. Our benchmarking helps plan sponsors discover and evaluate provider fees so that they pay only fair market value for the services received.

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Employee Education

Modern Wealth Management assists plan sponsors in developing a written Employee Education Plan. The plan guides the annual education process—identifying the program goals, the content to be delivered, the schedule of activities, and the targets for evaluating program effectiveness.

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