Business Owners/ Retirement Plan Services

Investmark's 3(21) Fiduciary Retirement Plan Services

Fiduciary Duty


Corporate retirement and pension plans are an important component of compensation for owners and key personnel and provide a meaningful benefit for other employees as well.

Investmark's 3(21) Fiduciary Retirement Plan Services can provide a complete, disciplined program for establishing, monitoring, and reviewing the full range of qualified and nonqualified plan strategies, including 401(k), SIMPLE, profit-sharing, and deferred compensation plans.

We bring our institutional-level, “manager-of-managers” asset management strategies to your business. Furthermore, our Fiduciary Advisory Services program can ensure full compliance with the increasing complexity of the regulatory responsibilities and oversight that many plan sponsors are not prepared to handle on their own. Our Fiduciary Advisory Services program can also include having Investmark serve as financial advisor to plan sponsors and participants.

Whether your business has 1 employee or 500, we can design a plan that can help you achieve your goals and take advantage of opportunities that might otherwise be overlooked.

E-mail our Retirement Plan Services advisors, or call our office at 203-953-3777 for a complimentary consultation and detailed benchmarking report of your existing 401(k), or to find out more about how we can help you get started with a plan for your business.


Our Retirement Plan Services include:

  • Portfolio design
  • Investment option selection
  • Coordination of portfolio with investment policy statement 
  • Investment option removal and replacement
  • Monitoring investment option watch list for future action
  • Quarterly portfolio review, reports, and recommendations 
  • Due diligence documentation



Help Your Employees Understand The Value of Your Company's Retirement Plan

compliance chalkboard

Are you ready for the new DOL Rules?

Retirement plan regulations and compliance are becoming increasingly more complex and subject to an ever-higher level of government scrutiny.  With this in mind, many of the most respected companies in the country are outsourcing the fiduciary role for their plans.

Our 3(21) Fiduciary Advisory Services program can ensure full compliance for your business retirement plan.

We provide full fiduciary documentation support:

  • Investment policy statement (IPS)
  • Due diligence file
  • Investment Committee notes
  • Plan fiduciary meeting checklist
  • Quarterly investment Mmonitoring
  • Annual Review including Plan Benchmarking
  • ERISA Section 404(c) compliance disclosures
  • Employee education and enrollments