| Provided Service |
Solicitor |
Non-Fiduciary
Consulting
Services |
Fiduciary Monitoring
a Full ERISA
3(38) Fiduciary |
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| Establish and maintain a relationship with the Plan Sponsor including, assisting the Plan Sponsor in completing and executing the ManagedPlan Sponsor Agreement and all necessary documentation in order to support the Plan's implementation of and/or conversion to the ManagedPlan Program |
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| Determine if the ManagedPlan Program is suitable for the Plan Sponsor |
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| Review ManagedPlan due diligence package setting forth FA's review of, among other things, Investment Manager's investment methodology, investment performance, reputation and fees |
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| Provide information to Plan Sponsor (e.g., marketing materials) so Plan Sponsor can select 3(38) Investment Manager |
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| Deliver and explain an Investment Policy Statement (IPS) to the Plan Sponsor |
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| Assist Plan Sponsor with the selection of an appropriate 3(38) Investment Manager based on particular Plan Sponsor needs and/or Investment Policy Statement |
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| If deemed necessary by Authorized Representative, participating in Plan design conference calls with Plan Sponsor |
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| Conducting enrollment meetings utilizing materials supplied by FA explaining the benefits of Plan participation, investment objectives of Plan investment options,general financial and investment information, asset allocation portfolios of hypothetical individuals with different time horizons and risk profiles |
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| Assisting Plan participants in using RetireOnTime to assess the impact of different allocations on retirement income and the other forms necessary for Plan participation |
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| Deliver to the Plan Sponsor an annual review of the Plan created by Fiduciary Advisors, LLC |
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| Review and explain 408(b)(2) disclosures to the Plan Sponsor |
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| Assist with account applications, delivery of plan documents and the collection of census information |
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| Distribute prospectuses, proxy materials, reports, and other investment information to the participants |
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| Explain to participants matters relating to Plan's investment procedures |
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| Assist participants using with RetireOnTime |
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| Provide investment education to participants |
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| Assist participants with a Risk Tolerance Questionnaire |
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| Assist Plan Sponsor with the selection of an appropriate 3(38) investment manager based on particular Plan Sponsor needs and/or Investment Policy StatementAssist Plan Sponsor with the replacement (if necessary) of the selected 3(38) investment manager |
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| Ongoing monitoring of the selected 3(38) investment manager |
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| Deliver to the Plan Sponsor an annual review of the Plan created by Fiduciary Advisors, LLCFA and provide recommendations to the Plan Sponsor with respect to the annual review |
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| Deliver and explain an Investment Policy Statement (IPS) created by FA to the Plan Sponsor and provide recommendations to the Plan Sponsor with respect to the IPS |
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| Assist with Plan Sponsor's compliance with 404(c) (as applicable) |
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| Recommend specific funds/models to serve as the DIAs and/or QDIA for the plan from the menu offered by the selected Investment Manager |
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| Provide investment advice on a regular basis pursuant to a mutual agreement with the Plan or a Plan fiduciary where the advice will serve as a primary basis for investment decisions with respect to plan assets and will be individualized based on the particular needs of a plan |
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