COLLABORATION • COMPLIANCE • CONVENIENCE

Small and Mid-Market Employers implementing a startup or rollover plan with more than $500,000 in AUM.

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• Outsourcing 95% of administrative duties and fiduciary liability is the major concern

• Compliance 401K is the 3(16) and 402(a) Plan Sponsor, Fiduciary and Trustee

• Compliance 401K preps and signs the annual 5500 form

• Employer is the Adopting Employer

A 457(b) is a tax-advantaged retirement plan primarily for civil servants, municipal employees, law enforcement officers and public safety personnel. In addition, executives at hospitals, charities and unions, as well as some independent contractors employed by state and local government bodies, may participate in 457(b) plans.

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• Compliance 401K acts as the 3(16) and 402(a) Fiduciary and Trustee

• Compliance 401K preps and signs the annual 5500 form

• 3(38) Fund Manager & Fiduciary included

SmartStart was designed for small employers wanting to implement a retirement plan where cost is the biggest factor.  While the employer is the plan sponsor, Compliance 401K provides 3(16) administration oversight.  We prep the plan sponsor’s 5500 form.  We also provide a 3(38) fiduciary and fund manager.

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• Small employers implementing a startup 401(k) retirement plan

• Cost is the biggest employer issue

• Employer is the Plan Sponsor

• Compliance 401K provides 3(16) Administrative Oversight but does not sign the 5500

• 3(21) Fiduciary and Fund Manager

The SmartChoice product is designed for small and mid-market employers implementing a startup or rollover retirement plan.

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• Cost, Outsourcing plan administration and reducing employer fiduciary liability are the major concern

• Employer is the Plan Sponsor

• Compliance 401K acts as the 3(16) plan administrator and signs the annual 5500 form

• 3(38) Fiduciary and Fund Manager