Broker Check

Investment & Fee Monitoring

Our advisors work with the plan sponsor to ensure the investment program is properly constructed and administered to meet the fiduciary standard of care. We perform detailed analysis on plan investment options, identify alternatives to under performing funds, and establish fee benchmarking criteria for fund and service charges incurred by the plan. Our focus is on ensuring the plan is efficiently administered, offers suitable investment options, and incurs appropriate fees for services and products.

PWA Financial’s investment and fee monitoring services include:

  • Investment Policy Statement (IPS) – The creation or review of the IPS to define, implement, and choose the investment options provided to plan participants.
  • Investment Committee Administration – The establishment of an investment committee to provide fiduciary oversight and due diligence by the plan sponsor, key management personnel, and our advisors.
  • Plan-Level Fee Analysis – Comprehensive independent review and analysis of fees incurred by the plan from investment options and service providers to determine if they are appropriate relative to offerings by similar providers.
  • Investment Performance Monitoring - Diligent performance monitoring of the investment options offered by the plan, with recommendations for replacement when existing options are not meeting the defined criteria set forth for the plan.