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YOUR 401(k)

Office Employees
  • Company owners, CFOs and HR personnel are often considered plan fiduciaries.

  • Fiduciaries may be personally liable for any breach, there is no corporate veil of protection.

  • Most companies mistakenly believe they have fulfilled their fiduciary duties by hiring a Third Party Administrator (TPA).

  • Your TPA may not be a fiduciary and therefore will not be held responsible for non-compliance and resulting penalties, fines and restorations. You are liable for the results of their work.

  • A high percentage of audited plans are found delinquent, resulting in billion in fines.

Large corporations offering a 401(k) plan to their employees take advantage of volume expense discounts because of the number of employees who participate in the plan.  Administrative expense fees are reduced considerably due to the law of large numbers.

Small to mid-sized companies offering a 401(k) plan to their employees pay much higher expense fees because of the smaller number of employees who participate in their individual plan.


Our goal is to provide lower expense costs while reducing employer administrative responsibilities and fiduciary liability


Our plans perform 99% of all administrative tasks, allowing you to devote your time and energy on growing your business, while we focus our efforts on protecting your business.

Compliance-401(k)™ is an independent external compliance partner for retirement plan sponsors. We provide plan IRS Code 3(16) fiduciary oversight to ensure plan sponsors meet all requirements set forth by the IRS and Department of Labor.

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