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  3. Business Retirement Plan Services

Business Retirement Plan Services

LPL Small Market Solutions (SMS)

Employers play a dual role in their company-sponsored retirement plan— no matter how many (or how few) participants they have. Because they are both plan sponsor and plan fiduciary, they have many duties… and they face many types of risks. They are responsible for:

  • Selecting an appropriate investment menu
  • Strict adherence to the plan’s written documents and guidelines
  • Adequate training and proper oversight of all service providers
  • Helping employees understand why and how to save

Communicating with participants about the plan and its fees Plan sponsors need help from a qualified retirement specialist they can trust.

With a company sponsored retirement plan offered by NWMG, business owners and plan trustees can count on us to:

  • Deliver quarterly FiRM reports
  • Monitor Investments by notifying you when a fund has been added to a watch list or removed from the lineup entirely.  Commentary will also be provided for such funds.
  • Periodically provide a Fee Analysis and Benchmarking report, showing the total cost of your plans compared to their per groups, including detailed separate costs for investment fees, record keeping and advisor compensation
  • Provide ERISA 3(38) fiduciary service, which includes discretionary investment selection and a centrally managed Investment Policy Statement (IPS)
  • Conduct periodic plan service review to help manage the service provider RFP process through our RFP Director tool
  • Assist directly in participant enrollment in person or through group and/or individual webinars

Small and medium sized business work with us, confident that the administration and fund selection within their retirement plans are handled appropriately and align with fiduciary standards. We take care of the reporting and operational functions, leaving you free to do what you do best – running a profitable business!

Contact us directly to initiate a Request for Proposal.

Services

  • Guided Wealth Portfolio
  • Full Service Wealth Management
  • Financial Planning
  • Business Retirement Plan Services
  • Employee Financial Education

Branch Locations

Cincinnati, OH
11260 Chester RD, STE 250
Cincinnati, OH 45246

Centerville, OH
76 Marco LN
Centerville, OH 45458

Gahanna, OH
81 Mill ST
Gahanna, OH 43230

Coconut Creek, FL
4171 West Hillsboro BLVD, STE 4
Coconut Creek, FL 33073

Ormond Beach, FL
1024 N US Hwy 1
Ormond Beach, FL 32174

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Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC.

The LPL Financial representative associated with this website may discuss and/or transact securities business only with residents of the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Kansas, Kentucky, Maine, Maryland, Michigan, Minnesota, Mississippi, Montana, North Carolina, Nebraska, New Hampshire, New Jersey, Nevada, New York, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, Vermont, Washington, Wisconsin, West Virginia

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