Am I an Investment Advice Fiduciary?

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New DOL Investment Advisory Rule


Our recordkeeping and administration services help clients manage the risk associated with defined contribution retirement plan regulatory compliance and provide worry-free recordkeeping services to free up time that your human resources team may devote to other priorities.

Our approach includes investment open-architecture, full operational flexibility, and complete fee transparency and disclosure, characteristics which are fairly unique in the industry. You can rest assured that as a plan sponsor, you are in compliance with IRS, DOL, and ERISA rules and regulations and benefit from Findley Davies’ complete fee transparency and disclosure.

We partner with clients to implement a successful retirement plan that supports the organization and participant-level objectives. As a plan sponsor, you will:

  • Understand and execute fiduciary responsibilities
  • Benefit from complete operational flexibility allowing you to build a retirement plan focused on specific needs
  • Be able to provide participants with access to superior, best-in-class investments through a true open architecture administrative platform
  • Be compliant with regulatory requirements
  • Access user-friendly technology for participant account management and retirement planning
  • Limit liability and gain employee appreciation of the retirement benefit by providing retirement planning education to participants
  • Understand the overall plan expenses built into products in order to operate the plan in the best interest of participants

Retirement Plan Matching Contribution Communications

Attracting and retaining talent by creating an engaged workforce can be supported by effective benefit plan communications.

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Vendor Selection

Consolidation of plans and an independent, objective vendor search that included a thorough study of the costs and capabilities of retirement plan providers helped this Company reduce overall retirement plan expenses.

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Retirement Plan Benchmarking and Analysis

A detailed retirement plan analysis resulted in improved market knowledge for providing quality retirement benefits to employees, a reduction of risk exposure to plan compliance issues, and enhanced financial performance of the organization's retirement plan.

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Investment Advisor Search

Leveraging the market knowledge of Findley Davies' consultants resulted in an independent, unbiased, and objective approach to the retirement plan investment consulting selection process.

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