Broker Check

Fiduciary Oversight

Our firm specializes in providing fiduciary services to retirement plan sponsors to ensure the plan is meeting its legal requirements and providing a value-added benefit to the participants. Through years of experience, advisors at our firm have developed a comprehensive fiduciary oversight process based on industry best practices that can be applied to your plan to ensure the administration is compliant, efficient, and cost effective.

PWA Financial is a co-fiduciary with the plan sponsor and provides thorough due diligence, detailed reporting, and clear communication regarding market trends, laws, and regulations that could impact the plan.

PWA Financial’s fiduciary oversight services include:

  • Document Review – Thorough review of retirement plan documentation with regular oversight to ensure the desired plan outcomes are being met.
  • Plan Fee Monitoring - Diligent fee analysis across the entire plan to ensure that services offered by vendors are reasonably priced and helping meet desired outcomes for the plan and its participants.
  • Outcome-Driven Reporting - Detailed reporting on key plan metrics including participation rate, contribution rate, plan trends, and fee benchmarking.
  • Investment Program Advisory – Assistance with the formation and administration of the Investment Policy Statement, Investment Committee, and investment menu, combined with ongoing monitoring of the investment options, performance, and fees incurred by the plan.
  • Comprehensive Education – Multi-channel education offerings customized to meet the specific needs of plan participants, including in person group presentations, individual meetings, and personalized retirement readiness reports.