| Qualified pension, profit sharing and 401(k) plan
services
We provide a range of services to employers who sponsor
qualified retirement plans – defined benefit pension, profit
sharing, and 401(k). Whether you are looking for consulting
services or investment advisory services for your plan,
Southwest Retirement Consultants is ready to help.
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Consulting services for
qualified plans
Need some specialized help with a plan design issue? Is
your plan being (gulp!) audited by the IRS or the
Department of Labor? Are there operational problems with
your plan? Southwest Retirement Consultants can help
with these and many other consulting issues.
- Special purpose plan designs, including
- Safe harbor plans
- Defined benefit plans
- Cross-tested defined contribution plans
- IRS/DOL plan audit assistance
- Intervention for plans under audit by IRS/DOL
- Data collection, interface services and
problem resolution
- Operational problem resolution
- Assistance with plans that have failed to
operate in accordance with the plan document
and/or regulatory guidelines
- Problem resolution and closing agreements
with the IRS/DOL/PBGC
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Investment advisory
services for qualified plans
Looking for fiduciary support to help with the selection
and monitoring of the investments for your retirement
plan? Through our wholly-owned subsidiary, Southwest
Retirement Advisors, Inc., we offer complete investment
support for the plan sponsor and we sign on as a
co-fiduciary with the plan trustees when we assume this
role.
- Determination of Investment Goals for the plan
- Determine the risk profile for the plan
investments
- Establish diversification objectives
- Development of an Investment Policy Statement
- Provide a written guideline for the initial
selection of plan investments
- Establish a procedure for ongoing monitoring
of funds to satisfy fiduciary obligations
- Selection of appropriate funds for the plan
- Apply quantitative fund screens established
in the Investment Policy Statement to the entire
mutual fund universe to produce a reduced list
of funds to consider
- Apply qualitative tests to aid in making
final fund selections
- Quarterly monitoring of funds selected with
formal reports to employer
- Produce written quarterly Monitoring Report
to evaluate fund performance in comparison to
benchmarks established in Investment Policy
Statement
- Provide written recommendations to plan
trustees with respect to appropriate actions to
be taken in light of performance results and
industry developments
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